Control Room Compliance Lead: Info Barriers & Risk

BMO; Chicago (IL); Presencial; USD 75.000 - 160.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health insurance

Tuition reimbursement

Accident and life insurance

Retirement savings plans

Descripción de la vacante

BMO Financial Group seeks a Compliance Officer for the Control Room to monitor information barriers and enforce regulatory requirements across US investment banking and research teams. You will help develop policies and ensure containment of sensitive information under high-pressure, time-sensitive conditions.

Ideal candidates possess a strong regulatory background, 6+ years of relevant experience, and proven ability to collaborate with business partners while maintaining discretion and tact in

Formación

• Bachelor's degree required; recognized compliance certification or equivalent a plus.
• Typically minimum of 6 years of relevant experience with 1–2 years in a Control Room.
• Detailed knowledge of consumer protection regulations and related marketing/advertising guidelines.
• Strong communication, relationship management and project management skills.

Responsabilidades

• Compliance program execution including daily control room activities and monitoring.
• Review research for compliance with restrictions and wall crossing procedures.
• Maintain grey and restricted lists; coordinate coverage across jurisdictions.
• Provide advisory services on compliance matters to LOB management and staff.
• Develop expertise in regulations and communicate changes to teams.
• Represent the LOB in audits and examinations; ensure governance and controls.

Conocimientos

Critical thinking

Regulatory knowledge

Communication

Project management

Relationship management

Data-driven decision making

Educación

Bachelor's degree

Compliance certification

Descripción del empleo

BMO Financial Group seeks a Compliance Officer for the Control Room to monitor information barriers and enforce regulatory requirements across US investment banking and research teams. You will help develop policies and ensure containment of sensitive information under high-pressure, time-sensitive conditions.

Ideal candidates possess a strong regulatory background, 6+ years of relevant experience, and proven ability to collaborate with business partners while maintaining discretion and tact in