100 King Street West Toronto Ontario,M5X 1A1
Reporting to the Director of Trade Surveillance, the Compliance Officer assists in the effective implementation, maintenance and administration of the compliance and risk monitoring program for Global Markets (Canada). This position coordinates and performs risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program and Risk Appetite. The Compliance Officer works closely with the Capital Markets Line of Business (“LOB”) and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. To effectively achieve compliance goals, the Compliance Officer maintains current knowledge of regulatory requirements and developments, monitors risk and identifies and corrects possible gaps and weaknesses. This position advises LOB management on implications of new regulatory policies or Bank products, and assists in the implementation of new or revised policies and programs to address them. The Compliance Officer develops and maintains compliance information for analysis and reporting..

QUALIFICATIONS

• Bachelor’s degree and between 1 - 3 years of experience, or an equivalent combination of education and experience.
• Knowledge of sales, trading or back-office processes and systems in a broker dealer environment would be an asset, including front-office and back-office applications (Bloomberg, Fidessa, Broadridge ADP, etc.).
• Knowledge of financial services industry and regulations (i.e., CIRO/CSA/MX Rules) related to securities and other financial instruments trading activities (primary focus on equities and equity derivatives, with general knowledge in fixed income securities, currency, commodities, and interest rate derivatives).
• Experience in equities trading, either from buy or sell side, is an asset.
• Proficiency with VBA, SQL, and/or Python is an asset.
• Proficiency with Power BI and other data visualization tools is an asset.
• Exceptional communication skills, both oral and written.
• Critical thinking.
• Ability to work in a collaborative environment.

ABOUT US

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset.
To find out more visit us at https://jobs.bmo.com/ca/en
BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes

Please refer the Job description for details