Regulatory Compliance & Governance Associate

BMO Capital Markets Corp.; Stati Uniti; In loco; USD 55.000 - 120.000; Tempo pieno

Vantaggi offerti da questo lavoro

Health insurance

Tuition reimbursement

Accident & life insurance

Retirement savings plans

Descrizione del lavoro

BMO Financial Group is seeking an Associate in Registrations & Governance to support the implementation, maintenance, and administration of compliance programs within its Audit, Risk & Compliance group in the United States. The role partners with business units and internal stakeholders to identify regulatory risks and enhance compliance oversight.

You will assist with risk assessments, monitoring, testing and surveillance activities, and contribute to regulatory reporting and remediation

Competenze

• Typically 3 to 5 years of relevant experience and a post‑secondary degree in a related field of study, or an equivalent combination of education and experience.
• Recognized compliance certificate or equivalent preferred.
• Proficient knowledge of consumer protection and related marketing and advertising guidelines.
• Proficient knowledge of a compliance field.

Mansioni

• Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.
• Conducts and/or effectively challenges risk assessments and assists in identifying more effective compliance controls.
• Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements.
• Supports root cause analysis in response to material control failures.
• Anticipates, identifies and analyses risks and consequences of unaddressed risk factors and compliance gaps, and recommends appropriate controls.

Formazione

Post-secondary degree in a related field

Descrizione del lavoro

BMO Financial Group is seeking an Associate in Registrations & Governance to support the implementation, maintenance, and administration of compliance programs within its Audit, Risk & Compliance group in the United States. The role partners with business units and internal stakeholders to identify regulatory risks and enhance compliance oversight.

You will assist with risk assessments, monitoring, testing and surveillance activities, and contribute to regulatory reporting and remediation