Vice President, Capital Markets Compliance & Risk

Location: New York

Final date to receive applications:

Address:151 W 42nd Street Job Family Group:

Capital Mrkts Sales & ServiceBMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarketsROLE SUMMARY The VP, Capital Markets Supervision (CMS) will be responsible for executing supervision and regulatory risk management functions within BMO Capital Markets, specifically supporting the US Investment Banking (IB) Line of Business (LOB).

This role performs supervisory controls, ensuring that they are effectively designed and executed to mitigate risk and support compliant, revenue-generating activities.

KEY

ACCOUNTABILITIES The VP, US IB Supervisor executes and is responsible for the effectiveness of the First Line of Defense supervisory framework, supporting the US IB Line of Business. The role provides guidance on regulatory risk management activities and conducts monitoring activities to validate that the LOB is conforming to applicable regulation and BMO policies.

The Global Head of I&CB has formally delegated to the CM Supervision team the authority to assess regulatory risks, evaluate control effectiveness, and drive remediation where gaps are identified. The role serves as a key liaison between the Line of Business and enterprise stakeholders, including Second Line Compliance, Enterprise Legal and Regulatory Compliance, Internal and External Audit, Financial Risk, Operational Risk, and Regulators (i.e., FINRA and SEC).The

position is engaged in the design, governance, and ongoing execution of supervisory controls, including monitoring programs, risk assessments, and issue management processes. The VP is also responsible for fostering a strong culture of compliance within US IB, promoting proactive risk identification and control enhancement.

The role works closely with team members across I&CB and Global Markets, as well as with Canadian and UK counterparts, to ensure consistency of supervisory standards and cross‑jurisdictional alignment where applicable.

CORE RESPONSIBILITIES Supervisory Execution Maintain and execute controls for various US IB regulatory requirements

Perform electronic communications surveillance

Document and maintain Written Supervisory Procedures and related Policies and Procedures, applicable to US IBAssist in the documentation and remediation of regulatory issues and/or address control deficiencies highlighted by the 3 Lines of Defense Testing Programs Investigate and respond to regulatory inquiries from 2nd Line Compliance, External Regulators and internal information requests from Audit Contribute to the formal reporting of Supervisory results back to US IB Senior Management, highlighting any areas of heightened risk Assist in the interpretation of new and existing regulatory requirements applicable to the US IB business

Actively explore opportunities to introduce AI and automation into the monitoring process to improve efficiency LOB Advisory Provide regulatory guidance to business stakeholders on initiatives and real-time guidance on IB deals

Provide Front Office Personnel Onboarding and Registrations Guidance and Administration Contribute to Regulatory Training Risk Assessments Participate in various risk assessments that impact US IBIdentify and escalate new risks that arise from monitoring activities to business management and 2nd line Compliance and feed through applicable risk assessment programs

Work closely with Regulatory Transformation Dept and Compliance to analyze the impact of regulatory changes on the US IB LOB and assist in developing requisite controls KNOWLEDGE AND EXPERIENCE Qualifications

Undergraduate degree required; advanced degree (MBA, CPA, JD/LLB) is a plus5-7 years of experience in financial services, preferably with direct knowledge of US Investment Banking regulations

Experience in compliance, supervision, or regulatory risk management within a major broker‑dealerFINRA registrations are a plus, including Series 24

Expertise Strong understanding of I&CB products, business models, and associated risks

Strong…