Adresse :
100 King Street West
Groupe de famille d'emploi :
Audit, risques et conformité
LRC Enterprise Compliance Services – Registrations, manages and maintains the registration for Canadian BMO employees whose business activities in securities and/or insurance are subject to regulation under provincial authority or as members of Self-Regulatory Organizations. In this dual role, the Compliance Officer is responsible for 1. reporting, data, and technology initiatives, and 2. providing Registrations related service to the registered firms. The Compliance Officer is responsible for ensuring that relevant departmental/firm policies meet business requirements and mitigates regulatory risk. This role involves liaising with various regulators, internal and external counsel, various levels of Senior Management, Technology & Operations, Regulatory Compliance, and other BMO stakeholders.
ACCOUNTABILITIES
Responsible for administrative functions such as creating reports and trackers and reviewing current processes in these areas for greater efficiency
Organize shared folders and other internal databases where confidential information is held
Creating, editing, and improving currently used Registrations forms for ease of use, better clarity, and improved efficiency
Work with internal partners such as HR, Legal, and business units on process improvement strategies
Assist the Continuing Education team with tracking and reporting on CE completion status for registered individuals
Assist management as a representative for technology related initiatives, business meetings, and any other special projects
Develop, maintain, and implement changes to registration policies & procedures to ensure the firm’s compliance program keeps pace with applicable regulatory developments
Keep abreast of regulatory developments with respect to Registrations and implement new processes or amend current ones to ensure requirements are being met
Manage Registrations files such as applications, updates to existing files, terminations, registered location changes, supervisor changes
Assist with complex files such as applications with civil, criminal, financial disclosures, and/or prior terminations for cause for presentation to management, branch management and the Chief Compliance Officer
Attain, review, and draft terminations for cause for internal review and filing with the regulator
Work on ad hoc initiatives
Accept reassignment of job tasks as necessary
Provide advice and guidance to Branches, Lines of Business, HR, Learning, and Corporate Secretaries Offices on related registration matters
Partner with Finance, Legal, Branches, and other departments to ensure a variety of regulatory filings are made within prescribed timelines
Ensure operational integrity and privacy measures are maintained and safeguarded with the LOB and compliance department
Regular interaction with the provincial regulators, MFDA, IIROC, and/or Insurance Councils.
Issue Resolution – resolve a diverse range of related issues/situations/problems arising from registration applications and business
Escalation Process – The Compliance Officer may escalate to the Manager, Registrations or to the CCO as required
The Compliance Officer will interact with senior management of the organization and external regulatory officials which will require exceptional communication and negotiation skills to advance the incumbent’s original thoughts and ideas
Knowledge & Skills
Strong office skills especially in using Microsoft Excel and Adobe products
Successful completion of industry courses is an asset
Three to five years experience in Registrations or Compliance or financial industry
Broad knowledge of registration related rules, instruments, and policies
Fluency in French an asset
Ability to identify and analyze risks and propose steps to mitigate risks
Ability to work in a high stress, fast-paced and changing environment
Must be able to work independently
Analytical skills and good judgment are extremely important
Must possess excellent negotiation and listening skills
Excellent interpersonal skills and strong written and verbal business communication skills
Able to recognize and handle sensitive and confidential information
Capable of handling multiple tasks and meeting stringent deadlines
#BMOLRC
Ici, pour vous.
À BMO, nous sommes animés par une raison d’être commune : Avoir le cran de faire une différence dans la vie, comme en affaires. Cette raison d’être nous invite à entraîner des changements positifs et durables pour nos clients, nos collectivités et nos gens. En travaillant ensemble, en innovant et en repoussant les limites, nous transformons des vies et des entreprises et favorisons la croissance économique partout dans le monde.
En tant que membre de l'équipe de BMO, vous êtes valorisé, respecté et entendu, et vous avez plus de moyens pour progresser et obtenir des résultats. Nous nous efforçons de vous aider à obtenir des résultats dès le premier jour, pour vous-même et nos clients. Nous vous offrirons les outils et les ressources dont vous avez besoin pour franchir de nouvelles étapes, car vous aidez nos clients à franchir les leurs. Au moyen de formation et de coaching approfondis ainsi que de soutien de la direction et d'occasions de réseautage, nous vous aiderons à acquérir une expérience enrichissante et à élargir votre groupe de compétences.
Pour en savoir plus, visitez-nous à l'adresse https://jobs.bmo.com/ca/fr .
BMO s'engage à offrir un milieu de travail inclusif, équitable et accessible. Nous apprenons de nos différences et tirons notre force des gens et de leurs différents points de vue. Des mesures d’adaptation sont disponibles sur demande pour les candidats qui participent à tous les aspects du processus de sélection. Pour demander des mesures d’adaptation, veuillez communiquer avec votre recruteur.
Remarque aux recruteurs : BMO n’accepte pas les curriculum vitæ non sollicités provenant de toute source autre que le candidat directement. Tout curriculum vitæ non sollicité envoyé à BMO, directement ou indirectement, sera considéré comme la propriété de BMO. BMO ne paiera aucuns frais pour les placements découlant de la réception d’un curriculum vitæ non sollicité. Une agence de recrutement doit d’abord détenir une entente de service écrite valide et dûment signée avant d’envoyer des curriculum vitæ.