Senior Manager Control Monitoring Testing

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The Senior Manager Control Monitoring & Testing for Cross Business Risk drives the effective implementation maintenance and administration of first line of defense 1st LOD) testing program; including overseeing business operations within the jurisdiction to ensure adherence and efficiency to Enterprise requirements. A seasoned professional with a combination of education experience and industry knowledge. Contributes to a strong risk management culture through collaboration with other Business Risk functions Second and Third line of Defense and Line of Business Partners to ensure Compliance and Operational risks are identified mitigated tested and reported on an ongoing basis.

Management of 1LOD Testing Team 60

• Leads team responsible for completing assigned testing across Wealth Management Business Units in line with Enterprise Compliance Monitoring and Testing requirements.
• Works with assigned business unit leaders to implement 1st LOD programs and frameworks developing and maintaining an indepth understanding of the applicable regulatory and internal risk management requirements. Interprets and provides advice on the application of the requirements for the business/group.
• Provides support to ensure proper understanding of regulatory requirements and ensure testing is adequately designed and executed; facilitates training to ensure business unit employees fully understand requirements.
• Provides superior management of team performance enables growth and provides coaching in efforts to attract develop and maintain top talent.
• Regularly connects work to BMOs purpose sets inspirational goals defines clear expected outcomes and ensures clear accountability for follow through.
• Participate in the preparation of the Regulatory Compliance annual testing plan.

Team Representation and Management Reporting 15

• Maintain and provide ongoing metrics/reporting relating to test completion and tracking towards the annual plan; develop additional metrics/reporting in response to emerging themes or ad hoc requests.
• Establish and maintain effective relationships with internal/external stakeholders including Business Compliance Business Risk and the Business Units; acts as the prime subject matter expert for internal/external stakeholders and supports multiple business units with moderate complexity & business transaction risk.
• Represents Cross Business Risk in working groups/forums and provides regular updates; makes recommendations to senior leaders on the Control Monitoring & Testing program and new initiatives based on an indepth understanding of the business.
• Supports Cross Business Risk in internal/external audits or regulatory examinations and assists in development of action plans to resolve any identified issues.
• Operates at a group/enterprisewide level and serves as a specialist resource to senior leaders and stakeholders.

Strategic Development and Implementation 25

• Demonstrates commitment to the continuous improvement of the Cross Business Risk Testing program by identifying investigating and implementing strategic transformation opportunities.
• Conducts independent analysis and assessment to identify and resolve issues; applies expertise and thinks creatively to address unique or ambiguous situations.
• Identifies investigates analyzes documents & mitigates program risks taking into account jurisdictional issues and raises any issues or concerns to senior leaders and other stakeholders.
• Recommends adjustments to the overall program or processes within Cross Business Risk in accordance with the applicable Enterprise guidelines and directives.

Qualifications:

• 7 years of relevant experience specifically in Regulatory Compliance and/or First Line of Defense for NonFinancial Risk management; postsecondary degree in related field of study or an equivalent combination of education and experience.
• 3 years of people management experience in a supervisory role
• Experience in the planning in the planning and of control testing (e.g. Audit OSFI E13 etc.
• Familiarity with Wealth Management regulatory requirements (e.g. OSC IIROC SEC OCC)
• Ability to demonstrate effective use of judgment interpretation knowledge and skill in the application of regulations and compliance requirements
• Proficiency in data analysis organization/planning and problemsolving; excellent intrapersonal skills with strong verbal & written communication
• Ability to independently delivery on complex assignments with competing deadlines
• Expertise in Program Management data driven decision making leadership and people management

Salary:

Pay Type:

The above represents BMO Financial Groups 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 parttime roles will be prorated based on number of hours regularly worked. For commission roles the salary listed above represents BMO Financial Groups expected target for the first year in this position.

BMO Financial Groups total compensation package will vary based on the pay type of the position and may include performancebased 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: 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. Well support you with the tools and resources you need to reach new milestones as you help our customers reach theirs. From indepth training and coaching to manager support and networkbuilding opportunities well help you gain valuable experience and broaden your skillset.

To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race religion color national origin sex (including pregnancy childbirth or related medical conditions) sexual orientation gender identity gender expression transgender status sexual stereotypes age status as a protected veteran status as an individual with a disability or any other legally protected characteristics. We also consider applicants with criminal histories consistent with applicable federal state and local law.

BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process please send an email to and let us know the nature of your request and your contact information.

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.