Senior Compliance Officer

Responsibilities

• Assist in the implementation, maintenance, and administration of the Capital Markets Compliance Program.
• Provide compliance advisory services and real-time guidance to management regarding new regulatory policies or products.
• Conduct surveillance reviews, risk assessments, and monitoring activities to ensure alignment with the Firm’s Enterprise-wide Compliance Program.
• Support the CMC equity program by building and executing monitoring frameworks and overseeing FINRA broker-dealer requirements.
• Execute testing, analyze key performance indicators, and support root cause analysis in response to control failures.
• Partner with business, legal, risk, and operations teams to provide compliance input on new products and process changes.
• Monitor regulatory developments impacting equities businesses and update policies and procedures accordingly.
• Respond to inquiries from auditors and regulators and participate in initiatives to drive regulatory adherence.

Requirements

• Bachelor's degree required.
• Minimum of 5 years of experience in a financial services compliance role or equivalent experience at a regulator.
• Deep operational and regulatory knowledge across SEC, FINRA, and exchange rules.
• Strong understanding of equity market activities, including communications, supervision, and best execution.
• Proven analytical and problem-solving skills with the ability to synthesize complex information.
• Ability to work independently and manage a large volume of detail-oriented work under changing deadlines.

Preferred Qualifications

• Possession of Series 7, 63, or 24 licenses.
• Strong understanding of options trading and market structure.
• Experience across multiple compliance functional areas such as surveillance, investigations, and testing.
• Expertise in surveillance systems and investigation methodologies.

About the Company

BMO is a leading bank driven by a single purpose: to Boldly Grow the Good in business and life. As the 8th largest bank in North America by assets, we provide personal and commercial banking, wealth management, and investment services to more than 12 million customers across Canada, the United States, and globally.