Senior Manager, Capital Markets Governance & Compliance (Broker Dealer Compliance)

Address:

Job Family Group:

Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have dealt with trading intricacies and have showcased a comprehensive grasp of the industry this might be the perfect opportunity for you.

Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance is implemented managed and monitored in the business/group. The governance framework includes policies guidelines and provides programs practices and measures to promote transparency accuracy consistency across groups. Applies specialized knowledge of Accounting & Financial management risk regulatory compliance and internal controls related to financial processes and information.

• Regularly connects work to BMOs purpose sets inspirational goals defines clear expected outcomes and ensures clear accountability for follow through.

• Acts as a trusted advisor on governance matters.

• Influences and negotiates to achieve business objectives.

• Recommends and implements Financial governance solutions based on analysis of issues and implications for the business.

• Researches existing or emerging requirements & related best practices to assist and develops recommendations for changes.

• Assists in the development of strategic plans.

• Identifies emerging issues and trends to inform decision-making.

• Leads or assists in the execution of oversight/governance activities.

• Leads or assists with the maintenance monitoring measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Supports the development evolution and maintenance of the governance system and framework.

• Coordinates the management of databases; ensures alignment and integration of data in adherence with data governance standards.

• Designs and produces regular and ad-hoc reports and dashboards.

• Leads the management of governance meetings and maintains maintenance of governing body mandates oversight and approval guidelines.

• Leads integrates and coordinates the maintenance monitoring measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Leads the interpretation of new or changing regulations and assessing impacts to the governance framework.

• Provides advice and guidance to assigned business/group on implementation of the governance framework including effective challenge.

• Coordinates and participates in the execution of oversight/governance activities including: reporting assessment of education & training needs development/delivery of training development and execution of regulatory administration processes & procedures management of review/updates to policies etc.

• Assists with the maintenance monitoring measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Supports policy/standard/operating procedures lifecycle management education and training assessment development & delivery coordination of attestation programs reporting etc.

• Assists with the interpretation of new or changing regulations and assessing impacts to the governance frameworks and program requirements.

• Develops and maintains in-depth knowledge of business and related risk management requirements and legislative/ regulatory directives and guidance.

• Supports the group/program leader in communicating advice across the Bank on regulatory environment changes to ensure changes are understood.

• Supports the management of governance meetings (e.g. committee management board meetings etc.) as required; facilitates development and approval of agendas gathering and distribution of documentation related to agendas and creation of meeting minutes/output.

• Supports development and execution of strategic initiatives in collaboration with internal and external stakeholders.

• Assists with the coordination and management of the review and sign-off of relevant regulatory reporting.

• Broader work or accountabilities may be assigned as needed.

Qualifications:

• Typically between 5 - 7 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.

• Working knowledge of business and regulatory environment is required.

• Control framework knowledge & experience preferred e.g. SOX 404 COBIT and COSO frameworks.

• Deep knowledge and technical proficiency gained through extensive education and business experience.

• Verbal & written communication skills - In-depth.

• Collaboration & team skills - In-depth.

• Analytical and problem solving skills - In-depth.

• Influence skills - In-depth.

• Data driven decision making - In-depth.

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 part-time roles will be pro-rated 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 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: 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 in-depth training and coaching to manager support and network-building 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 e-mail 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.