Senior Compliance Lead: 1st Line & Regulatory Programs

BMO Financial Group; Toronto; On-site; CAD 69,000 - 129,000; Full time

Job summary

A major financial services company in Toronto is seeking a Compliance Specialist to provide regulatory compliance advice and lead the implementation of the Enterprise Compliance Program. This role involves managing complex compliance programs, supporting business leaders, and ensuring adherence to regulations. The ideal candidate will have 5-7 years of experience, a post-secondary degree, and excellent communication skills. A salary range of $69,000 to $129,000 is offered, along with comprehensive benefits.

Benefits

Health insurance

Tuition reimbursement

Retirement savings plans

Performance-based incentives

Qualifications

• Typically, between 5 - 7 years of relevant experience (i.e., Broker Dealer, Self-Directed Investing).
• Ability to demonstrate effective use of judgment and knowledge in applying regulations.

Responsibilities

• Provide regulatory compliance advice and direction to the Wealth businesses.
• Support business leaders in effective implementation of compliance programs.
• Manage and support compliance programs/frameworks to ensure risk mitigation.
• Document rationales to support risk assessments.

Skills

Expert verbal and written communication skills

Analytical skills

Presentation skills

Influence skills

Ability to multitask and prioritize

Education

Post-secondary degree in related field

Canadian Securities Courses

Tools

MS Office

Job description

A major financial services company in Toronto is seeking a Compliance Specialist to provide regulatory compliance advice and lead the implementation of the Enterprise Compliance Program. This role involves managing complex compliance programs, supporting business leaders, and ensuring adherence to regulations. The ideal candidate will have 5-7 years of experience, a post-secondary degree, and excellent communication skills. A salary range of $69,000 to $129,000 is offered, along with comprehensive benefits.