Global Control Room Compliance Lead

BMO U.S.; Chicago (IL); On-site; USD 75,000 - 160,000; Full time

Job summary

BMO Financial Group in the United States seeks a Compliance Officer for the Control Room to monitor and enforce information barriers between public and private sides of the business. You will support US Investment Banking and Research, develop policies, and ensure containment of sensitive information.

The role demands strong critical thinking, discreet judgment, and the ability to manage high-pressure, time-sensitive environments while collaborating with business partners and global compliance

Qualifications

• Bachelors degree required.
• Typically minimum of 6 years of relevant experience and post-secondary degree in related field, including 1-2 years of Control Room experience.
• Recognized compliance certificate or equivalent preferred.
• Detailed knowledge of consumer protection regulations and related marketing guidelines.
• Strong communication, critical thinking, relationship management and project management skills.
• Data driven decision making and ability to work under pressure.

Responsibilities

• Monitor and enforce information barriers between public and private sides of the business.
• Maintain grey and restricted lists and coordinate coverage across jurisdictions.
• Review research prior to publication for compliance with restrictions and Wall Crossing procedures.
• Provide regulatory guidance to LOB management and staff as first line of defense.
• Coordinate and perform monitoring and testing for Investment Banking and Research.
• Assist with development of policies and procedures to ensure effective practices.
• Represent the LOB Compliance team during audits and examinations.
• Identify training needs and enhancements to compliance tools and processes.

Skills

Critical thinking

Communication skills

Relationship management

Project management

Analytical skills

Education

Bachelor's degree

Compliance certification

Tools

Regulatory software

Job description

BMO Financial Group in the United States seeks a Compliance Officer for the Control Room to monitor and enforce information barriers between public and private sides of the business. You will support US Investment Banking and Research, develop policies, and ensure containment of sensitive information.

The role demands strong critical thinking, discreet judgment, and the ability to manage high-pressure, time-sensitive environments while collaborating with business partners and global compliance