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The successful candidate will work with the Capital Markets Compliance team in administering both the employee trading and outside activities programs for BMO Financial Group.

The employee will:

• assist in the ongoing implementation and maintenance of both global compliance programs by working with the businesses we support.
• build effective professional relationships with those we support.
• work alongside our first line of defence partners.
• work with the line of businesses and internal partners that we support to ensure regulatory, corporate and fiduciary obligations are met.
• identify risks and implement appropriate actions to mitigate them.
• identify, assess, effectively challenge and oversee the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.
• evaluate and escalate high profile issues to the Director of the group and management, when needed.
• identify and analyze risk and consequences of unaddressed compliance gaps and recommends appropriate controls.
• review trades and processing any violations
• be the initial reviewer for outside activity requests
• be able to distill large amounts of data to key stakeholders for analysis and reporting purposes.
• represent the team and interact with internal or external regulator audits and examinations.
• operate effectively with constantly changing expectations and regulatory & audit scrutiny.
• access, monitor and report on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.
• exercise judgment to identify, diagnose and solve problems within given rules.
• coordinate and perform monitoring and surveillance activities to ensure programs remain current and aligned with the BMO Enterprise Compliance Program.
• work independently on a range of complex tasks, which may include unique situations.
• Broader work or accountabilities may be assigned as needed.

Qualifications:

• Strong trading knowledge needed with the Canadian Securities Course & Conducts and Practices Handbook, or similar, a must.
• Hybrid working environment with a minimum of three days per week in the office.
• 1 - 3 years of relevant experience.
• Strong knowledge of business operations & procedures and activities involving documented practices.
• Proficient in communication, critical thinking, relationship management and project management skills.
• Post-secondary degree or an equivalent combination of education and experience.
• Strong verbal & written communication skills are needed.
• Collaboration & team skills are needed.
• Analytical and problem-solving skills are needed.

This is a hybrid working environment with a minimum of three days per week in the office. Coverage will be needed between 8 am and 5 pm ET, this is a typical 37.5 hours a week role.

The above represents BMO Financial Group’s pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group’s expected target for the first year in this position.

BMO Financial Group’s total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: