Control Room Compliance Lead – Investment Banking

BMO; San Rafael (CA); 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 is seeking a Compliance Officer for the Control Room supporting US Investment Banking and Research. The role monitors and enforces information barriers between public and private sides and develops policies to ensure containment of sensitive information.

Open to candidates with strong regulatory knowledge, critical thinking, and the ability to work under pressure in a global, time-sensitive environment across jurisdictions.

Formación

• Bachelor's degree required.
• Compliance certification or equivalent a plus.
• Typically 6 years of relevant experience with 1–2 years in Control Room.
• Knowledge of consumer protection regulations and related marketing guidelines.
• Strong communication, relationship management and project management skills.

Responsabilidades

• Coordinate coverage across multiple jurisdictions for grey/restricted lists and research.
• Review research prior to publication ensuring compliance with policies and Wall Crossing procedures.
• Maintain grey and restricted lists and monitor research communications.
• Perform monitoring and testing for Investment Banking and Research businesses.
• Conduct risk assessments and provide analyses to support risk mitigation and compliance.

Conocimientos

Regulatory compliance

Stakeholder management

Critical thinking

Communication

Project management

Educación

Bachelor's degree

Compliance certification

Descripción del empleo

BMO Financial Group is seeking a Compliance Officer for the Control Room supporting US Investment Banking and Research. The role monitors and enforces information barriers between public and private sides and develops policies to ensure containment of sensitive information.

Open to candidates with strong regulatory knowledge, critical thinking, and the ability to work under pressure in a global, time-sensitive environment across jurisdictions.