Manager, Business Compliance

Responsibilities

• Execute First Line compliance monitoring, reporting, and control execution for GAM Canada.
• Manage mandate compliance using the Charles River Order Management System, including coding rules and monitoring pre/post-trade alerts.
• Oversee the personal trade monitoring program, including onboarding access persons and reviewing trade submissions and breaches.
• Monitor Gifts & Entertainment (G&E) to ensure compliance with established limits.
• Perform annual fund liquidity rankings and execute stress tests.
• Manage regulatory filings, including TSX reporting for ETFs and SEDAR 45-106 filings.
• Partner with business leaders, traders, and legal teams to assess the compliance impact of new business initiatives and regulatory changes.
• Prepare conflict of interest reporting for review by the Investment Review Committee.

Requirements

• 3-5 years of experience in Asset Management performing compliance-related functions.
• Post-secondary degree in a related field or an equivalent combination of education and experience.
• In-depth knowledge of OSC Investment Fund Manager (IFM) regulations and portfolio management.
• Strong knowledge of National Instruments, specifically NI 81-102, NI 31-103, and NI 81-107.
• Proficiency with Charles River or similar Order Management Systems (e.g., Bloomberg, Aladdin).
• Advanced critical thinking and problem-solving skills with high attention to detail.
• Strong verbal and written communication skills for reporting to senior management.

Preferred Qualifications

• Industry certifications or designations such as CFA or MBA.
• In-depth knowledge of derivatives.

Benefits

• Competitive salary and total compensation package.
• Performance-based incentives and discretionary bonuses.
• Health insurance and accident/life insurance.
• Tuition reimbursement and retirement savings plans.

About the Company

BMO is a leading North American bank driven by a single purpose: to Boldly Grow the Good in business and life. With over 12 million customers, we provide personal and commercial banking, wealth management, and investment services across Canada, the United States, and globally.