Chief Compliance Officer, RIA – SEC-Regulated Expert

BMO; New York (NY); On-site; USD 120,000 - 250,000; Full time

Benefits offered by this job

Health insurance

Tuition reimbursement

Accident and life insurance

Retirement savings plans

Job summary

BMO Financial Group seeks a seasoned Chief Compliance Officer to oversee the regulatory compliance program for a U.S. registered investment adviser. You will lead the SEC registration process, monitor risk, and advise senior management on regulatory developments, ensuring fiduciary obligations and investor protections are upheld.

The role requires deep expertise in U.S. securities laws, strong leadership, and collaboration with Legal, Risk, and Operations to maintain an effective compliance

Qualifications

• Typically, 10+ years of relevant experience in U.S. investment management regulatory compliance.
• Significant experience developing, implementing, and overseeing regulatory compliance programs for SEC-registered investment advisers.
• Experience serving as a Chief Compliance Officer or senior compliance leader preferred.
• Strong knowledge of Investment Advisers Act of 1940 and Investment Company Act requirements.

Responsibilities

• Leads development and implementation of the RIA's regulatory compliance program, including policies and controls.
• Oversees SEC registration workstream, Form ADV preparation, and regulatory disclosures.
• Acts as designated Chief Compliance Officer under Rule 206(4)-7.
• Coordinates regulatory risk assessments, monitoring, and testing across the program.
• Advises management on regulatory developments and risk mitigation strategies.

Skills

Regulatory compliance

SEC regulatory knowledge

Leadership

Communication skills

Education

Bachelor's degree in a related field

Job description

BMO Financial Group seeks a seasoned Chief Compliance Officer to oversee the regulatory compliance program for a U.S. registered investment adviser. You will lead the SEC registration process, monitor risk, and advise senior management on regulatory developments, ensuring fiduciary obligations and investor protections are upheld.

The role requires deep expertise in U.S. securities laws, strong leadership, and collaboration with Legal, Risk, and Operations to maintain an effective compliance