Compliance Manager, Global Asset Management

at  BMO Financial Group

THE COMPLIANCE MANAGER, GLOBAL ASSET MANAGEMENT, ASSISTS 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.

• The ideal candidate will have asset management experience with detailed knowledge of regulations OSC NI 81-102 and NI 81-105 and NI 81-107.

Please refer the Job description for details