Regional Compliance & Risk Leader

Enternships Ltd.; Toronto; On-site; CAD 70,000 - 150,000; Full time

Benefits offered by this job

Health insurance

Tuition reimbursement

Accident and life insurance

Retirement savings plans

Job summary

BMO Private Wealth is seeking an experienced risk and compliance professional to support the 1st line of defense, governance, and control programs. The role requires guiding business leaders on regulatory requirements, AML and operational risk while coordinating policy changes and remediation efforts.

Wealth management experience, strong stakeholder skills, and a Series 24 license are highly valued in this highly regulated environment.

Qualifications

• 5-7+ years of experience in Risk Management, Compliance, Operational Risk, AML, Audit, Regulatory Governance, Controls Oversight, or a related discipline within financial services.
• Experience supporting or managing First Line of Defense (1LOD) risk and compliance programs within a regulated environment.
• Strong understanding of risk management frameworks, internal controls, regulatory requirements, and governance practices.
• Experience supporting internal audits, regulatory examinations, policy reviews, issue management, and remediation initiatives.
• Demonstrated ability to assess regulatory requirements, identify gaps, and implement practical, sustainable solutions.
• Strong stakeholder management, communication, and influencing skills, with the ability to work effectively across business, risk, compliance, legal, and audit functions.
• Experience leading or supporting complex projects, regulatory initiatives, or change management activities.
• Wealth Management, Brokerage, Private Wealth, Investment Advisory, or Capital Markets experience is an asset.
• Series 24 (General Securities Principal) licence strongly preferred.

Responsibilities

• Support the implementation, execution, and ongoing enhancement of First Line of Defense (1LOD) risk, compliance, governance, and control programs across multiple business areas within BMO Private Wealth.
• Provide guidance and support to business leaders on regulatory requirements, operational risk, compliance, AML, governance, and internal control matters.
• Monitor regulatory and industry developments, assess impacts to the business, and coordinate the implementation of required changes to policies, procedures, controls, and business practices.
• Lead the review, maintenance, and oversight of business policies, procedures, governance documentation, and control frameworks to ensure alignment with regulatory requirements and enterprise standards.
• Support internal audits, regulatory examinations, independent reviews, and issue remediation activities, including coordinating responses, tracking findings, and monitoring action plans through resolution.
• Partner with stakeholders across the first, second, and third lines of defense to identify, assess, monitor, and mitigate operational, compliance, and regulatory risks.
• Track and report on risk issues, exceptions, exemptions, and remediation activities to support effective governance and ongoing risk management.
• Support the execution of strategic initiatives, regulatory projects, and change management activities, ensuring risks are appropriately considered and mitigated throughout implementation.
• Develop and deliver training, awareness, and communication activities that strengthen employee understanding of risk management requirements and promote a strong culture of compliance and accountability.
• Build strong relationships with business leaders and key stakeholders, providing risk-based advice and recommendations that support effective decision-making and regulatory compliance.

Skills

Risk management

Compliance

Regulatory governance

Operational risk

Stakeholder management

Job description

BMO Private Wealth is seeking an experienced risk and compliance professional to support the 1st line of defense, governance, and control programs. The role requires guiding business leaders on regulatory requirements, AML and operational risk while coordinating policy changes and remediation efforts.

Wealth management experience, strong stakeholder skills, and a Series 24 license are highly valued in this highly regulated environment.