Sales Conduct Risk Advisor

BMO Harris Bank; Chicago (IL); On-site; USD 55,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Tuition reimbursement

Life insurance

Retirement savings plans

Job summary

BMO Harris Bank is seeking a Sales Practices & Conduct Risk Advisor in Chicago to support the Risk, Compliance, and Governance programs. You will research suspected misconduct, analyze trends, and help implement controls to promote ethical sales conduct across the organization.

The role requires investigative acumen, strong communication, and the ability to influence at all levels. It offers a competitive package and avenues for professional growth within a large financial institution.

Qualifications

• Bachelor's degree or equivalent experience.
• 3+ to 7+ years of experience in Risk Management, Compliance, Internal Audit, Investigations, Employee Relations, Banking Operations, Governance, or related field.
• Strong analytical and critical-thinking skills.
• Experience conducting research, investigations, or issue analysis.
• Excellent written and verbal communication skills.
• Ability to influence and communicate effectively across all organizational levels.
• Strong organizational and project management capabilities.

Responsibilities

• Conduct research and fact-finding related to alleged sales practices misconduct, unethical behavior, customer complaints, employee concerns, and transactional monitoring alerts.
• Analyze information from multiple sources including Employee Relations, Ethics, Compliance, Global Investigations, customer complaints, and internal monitoring programs.
• Document findings, determine appropriate disposition, and escape matters in accordance with established procedures.
• Support investigations through collection, analysis, and synthesis of relevant facts and documentation.
• Identify patterns, trends, or systemic issues that may indicate increased conduct or sales practices risk.
• Identifying and minimizing negative impacts to the business.
• Suggests risk mitigation strategies.
• Tracks information requests and corresponding approvals.
• Builds awareness, knowledge, and skills and, as necessary, provides communication, practical tools and ongoing support including making presentations, to promote a culture of risk identification and management.

Skills

Risk Management

Compliance

Internal Audit

Investigations

Employee Relations

Governance

Education

Bachelor's degree or equivalent experience

Job description

BMO Harris Bank is seeking a Sales Practices & Conduct Risk Advisor in Chicago to support the Risk, Compliance, and Governance programs. You will research suspected misconduct, analyze trends, and help implement controls to promote ethical sales conduct across the organization.

The role requires investigative acumen, strong communication, and the ability to influence at all levels. It offers a competitive package and avenues for professional growth within a large financial institution.