Manager, Business Compliance, BMO Wealth Management

at  BMO Financial Group

REGULATORY KNOWLEDGE:

Develop and maintain a high level of expertise in regulations, directives, and guidance.

• Regulator Knowledge:
• OSC Investment Fund Manager (IFM), portfolio management and trading regulations. In-depth knowledge of National Instruments (e.g., NI 81-102, NI 31-103, NI 81-107, etc.)
• UMIR Trading rules
• Financial Planning Provincial requirements
• Unclaimed Balances Provincial Requirements
• General regulators/regulations:
• Volcker
• Privacy
• Competition Act

QUALIFICATIONS:

• Typically, between 5 - 7 years of relevant experience (i.e., Investment Fund Manager/Dealer) and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Specific education/designation/experience that would be an asset:
• Canadian Securities Courses

GENERAL KNOWLEDGE/SKILLS:

• Expert verbal and written communication skills
• Expert presentation skills
• Consulting, analytical, and technical support skills.
• Builds effective relationships with internal senior stakeholders.
• Breaks down strategic problems, and analyses data and information to provide insights and compliance related recommendations.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Ability to demonstrate effective use of judgment, interpretation, knowledge, and skill in the application of regulations and compliance requirements.
• Works independently and regularly handles non-routine situations.
• Program management skills - In-depth.
• Ability to multi task and prioritize deliverables and time management
• Deep knowledge and technical proficiency gained through extensive education and business experience.
• Collaboration and teamwork skills - In-depth.
• Influence skills - In-depth.
• Motivated individual who takes initiative and accepts personal accountability.
• Working knowledge of information technology tools required including MS Office.

Please refer the Job description for details