Compliance Officer, Registrations

Address:

Job Family Group:

The Compliance Officer supports the implementation maintenance and administration of the Compliance Program with a specialized focus on regulatory registrations for employees engaging in activities requiring licensure with FINRA NFA and SEC. The role coordinates compliance monitoring risk assessments and control evaluations to ensure the business meets regulatory corporate and fiduciary obligations. This individual develops strong partnerships across the business provides subjectmatter expertise on regulatory requirements and supports the organizations ability to operate within a sound wellcontrolled environment.

• Manages and oversees the complete employee registration lifecycle including onboarding amendments terminations transfers and associated disclosures.
• Ensures timely and accurate completion of regulatory filings such as Form U4 U5 BR and related submissions in FINRA Gateway NFA ORS and other applicable registration systems.
• Monitors registration and licensing requirements for covered employees ensuring compliance with jurisdictional product and role-specific rules.
• Conducts regular reviews of employee registrations to confirm completeness accuracy and adherence to regulatory obligations.
• Oversees continuing education requirements including FINRA Regulatory Element and Firm Element training.
• Serves as the primary point of contact for employees managers HR and regulators regarding registration inquiries licensing statuses regulatory exams and qualification pathways.
• Coordinates with internal partners to determine appropriate registration categories and manages prerequisite exams and training.
• Tracks regulatory changes related to registrations and proactively updates internal procedures controls and communications.
• Prepares and maintains documentation related to registration audits exams and regulatory reviews.
• Builds effective professional relationships with business line other internal/external stakeholders and regulators.
• Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
• Performs and/or effectively challenges monitoring and testing activities to ensure compliance regulatory compliance controls are operating and aligned to regulatory requirements.
• Analyses and reports compliance information to Compliance and business/group management.
• Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
• Advises first line of defense management and employees on compliance matters.
• Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.
• Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.
• Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
• Communicates the roles and importance of each of the three lines of defense and proactively identifies regulatory risk.
• Works independently on a range of complex tasks which may include unique situations.
• Broader work or accountabilities may be assigned as needed.

Qualifications:

• Typically between 3 - 5 years of experience in regulatory compliance preferably within a brokerdealer or similar financial services environment.
• Direct experience administering employee registrations with FINRA NFA and/or SEC including completing and managing Form U4/U5 filings and registration amendments.
• Strong understanding of U.S. securities and derivatives regulations including FINRA rules and registration categories NFA and CFTC registration requirements and SEC regulatory framework for registered representatives
• Experience with regulatory systems such as FINRA Gateway NFA ORS WebCRD and CE systems.
• Experience conducting compliance monitoring testing risk assessments or controls evaluation.
• Proficiency in Microsoft Office (Excel Word PowerPoint) and ability to learn specialized compliance systems.
• Strong attention to detail in evaluating filings controls and compliance reporting.
• Clear and concise communicator able to explain regulatory concepts to business partners management and employees.
• Builds effective partnerships with HR Legal Risk Operations and frontline management.
• Highly organized with the ability to manage multiple deadlines particularly for timesensitive regulatory filings.
• Takes ownership of tasks from initiation through completion with minimal supervision.
• Operates effectively in highpressure highscrutiny environments with changing priorities.
• Proficient in communication critical thinking relationship management and project management skills.
• Technical proficiency gained through education and/or 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.