Senior Compliance Officer, Capital Markets Regulatory Enquiries & Governance (12-Months Contract)

Application Deadline
11/19/2026Address
100 King Street WestJob Family Group
Audit, Risk & ComplianceKey Responsibilities / Top Deliverables
Regulatory Enquiries Management. Manage and coordinate responses to regulatory enquiries. Ensure timely and accurate submissions to regulators.Program Governance Support. Support governance activities related to regulatory requests. Coordinate document submissions and regulatory reporting requirements.Metrics & Reporting. Produce and track key metrics, including completion rates and other compliance-related reporting. Monitor progress and provide updates to stakeholders.Ideal Candidate Profile
Minimum 5 years of relevant experience, ideally at a more senior level.Strong organizational and project coordination skills, including: Scheduling meetings Tracking documentation Following up on investigations and action itemsExperience or knowledge in: Investment products Equities Futures Options tradingCompliance or regulatory experience within a banking or financial services environmentAssists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures manuals for requirements. Contributes to business/group results by providing oversight and making recommendations that significantly impact the Bank's ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies.Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs.Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.Influences to achieve effective regulatory compliance controls that enable business objectives.Identifies and advises on emerging issues and trends to inform decision-making.Helps determine business priorities and best sequence for execution of business/group strategy.Builds effective professional relationships with business group, internal/external stakeholders and trust with regulators.Analyses and reports on compliance data, and related data to gain insights on regulatory risk.Oversees the development and maintenance of guidelines and procedures, providing advice/rulings as necessary, for a single function within a geographic area.Participates in the design, implementation and management of core business/group processes.Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements.Supports root cause analysis in response to material control failures in business/group.Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.Analyzes and reports compliance information to Compliance and business/group management.Develops and maintains a high level of expertise in all regulations, directives and guidance which apply to the group(s) supported.Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.Analyzes and report
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