Chief Compliance Officer Bmo Private Investment Counsel
Bank of Montreal
Lead Canadian securities compliance at 100 King Street West, overseeing BPIC’s regulatory program, investment funds, and exempt market activities.As Chief Compliance Officer for BMO Private Investment Counsel Inc. and Director, Compliance for BMO Private Wealth Canada, you will lead second-line oversight. The mandate covers portfolio management, investment fund management, and exempt market dealing. You will advise senior leaders, oversee regulatory risk, and support broader Private Wealth Canada priorities.Key Responsibilities:
Fulfill BPIC’s CCO responsibilities under applicable securities lawsOversee investment fund governance, conflicts, disclosure, and reportingLead compliance risk identification, monitoring, testing, and escalationChallenge senior management on regulatory requirements and business changesReport compliance matters and program effectiveness to management and BoardRequirements:
Bachelor’s degree and eight or more years’ relevant experienceKnowledge of Canadian securities regulation and NI 31-103Understanding of NI 81-102, NI 81-106, and NI 81-107Experience leading compliance programs and advising senior leadersStrong people management, judgment, communication, and analytical skillsBring securities regulation expertise, compliance leadership, and investment fund knowledge to BMO Private Investment Counsel and Private Wealth Canada.
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Fulfill BPIC’s CCO responsibilities under applicable securities lawsOversee investment fund governance, conflicts, disclosure, and reportingLead compliance risk identification, monitoring, testing, and escalationChallenge senior management on regulatory requirements and business changesReport compliance matters and program effectiveness to management and BoardRequirements:
Bachelor’s degree and eight or more years’ relevant experienceKnowledge of Canadian securities regulation and NI 31-103Understanding of NI 81-102, NI 81-106, and NI 81-107Experience leading compliance programs and advising senior leadersStrong people management, judgment, communication, and analytical skillsBring securities regulation expertise, compliance leadership, and investment fund knowledge to BMO Private Investment Counsel and Private Wealth Canada.
#J-18808-Ljbffr
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