Senior Manager, Capital Markets Governance & Compliance (Broker Dealer Compliance)

Application Deadline:

07/30/2025

Address:

151 W 42nd Street

Job Family Group:

Finance & Accounting

Please note that this is a hybrid position that requires four days onsite at our New York office.
 

Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have dealt with trading intricacies and have showcased a comprehensive grasp of the industry, this might be the perfect opportunity for you.

Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance is implemented, managed, and monitored in the business/group. The governance framework includes policies, guidelines and provides programs, practices and measures to promote transparency, accuracy, consistency across groups. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes and information.

• Regularly connects work to BMO's purpose, sets inspirational goals, defines clear expected outcomes, and ensures clear accountability for follow through.

• Acts as a trusted advisor on governance matters.

• Influences and negotiates to achieve business objectives.

• Recommends and implements Financial governance solutions based on analysis of issues and implications for the business.

• Researches existing or emerging requirements & related best practices to assist and develops recommendations for changes.

• Assists in the development of strategic plans.

• Identifies emerging issues and trends to inform decision-making.

• Leads or assists in the execution of oversight/governance activities.

• Leads or assists with the maintenance, monitoring, measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Supports the development, evolution and maintenance of the governance system and framework.

• Coordinates the management of databases; ensures alignment and integration of data in adherence with data governance standards.

• Designs and produces regular and ad-hoc reports, and dashboards.

• Leads the management of governance meetings and maintains maintenance of governing body mandates, oversight and approval guidelines.

• Leads, integrates and coordinates the maintenance, monitoring, measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Leads the interpretation of new or changing regulations and assessing impacts to the governance framework.

• Provides advice and guidance to assigned business/group on implementation of the governance framework, including effective challenge.

• Coordinates and participates in the execution of oversight/governance activities including: reporting, assessment of education & training needs, development/delivery of training, development and execution of regulatory administration processes & procedures, management of review/updates to policies, etc.

• Assists with the maintenance, monitoring, measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Supports policy/standard/operating procedures lifecycle management, education and training assessment, development & delivery, coordination of attestation programs, reporting, etc.

• Assists with the interpretation of new or changing regulations and assessing impacts to the governance frameworks and program requirements.

• Develops and maintains in-depth knowledge of business and related risk management requirements and legislative/ regulatory directives and guidance.

• Supports the group/program leader in communicating advice across the Bank on regulatory environment changes to ensure changes are understood.

• Supports the management of governance meetings (e.g. committee, management, board meetings, etc.) as required; facilitates development and approval of agendas, gathering and distribution of documentation related to agendas, and creation of meeting minutes/output.

• Supports development and execution of strategic initiatives in collaboration with internal and external stakeholders.

• Assists with the coordination and management of the review and sign-off of relevant regulatory reporting.

• Broader work or accountabilities may be assigned as needed.

Qualifications:

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