Compliance Officer, LRC Fixed Term/Secondment

at  BMO Financial Group

Toronto, ON, Canada -

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate28 Jul, 2024Not Specified02 May, 20242 year(s) or aboveCritical Thinking,Project Management Skills,Training,Actimize,Business Operations,Regulatory Compliance,Compliance Officers,Collaboration,Regulations,Transactional,Regulatory Requirements,DirectivesNoNo
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Description:

Responsibilities:

IN THIS ROLE YOU WILL ENSURE THE DAILY AND MONTHLY HEAD OFFICE SUPERVISION/REVIEW OF CLIENT TRADING/ACCOUNT ACTIVITY IS COMPLETED WITHIN SPECIFIED TIMEFRAMES INCLUDING PRO TRADING ACTIVITY. IN A PRINCIPLE BASED REGULATORY ENVIRONMENT, EMPHASIS IS ON REVIEWING FOR ISSUES SUITABILITY OF TRADES/INVESTMENTS, CONFLICTS OF INTEREST, CLIENT’S BEST INTEREST, INSIDER TRADING, ARTIFICIAL PRICING, MANIPULATIVE AND DECEPTIVE METHODS OF TRADING ETC.

  • This is a 12-18 month fixed term role /internally a secondment
  • This is a hybrid role requiring 2-3 days in the Toronto office
  • A minimum of 2 years securities compliance and trading experience

REQUIREMENT SUMMARY

Min:2.0Max:18.0 year(s)

Financial Services

Accounts / Finance / Tax / CS / Audit

Finance

Diploma

Proficient

1

Toronto, ON, Canada