Senior Compliance Manager, Advisory; Mutual Fund Dealer

Key Responsibilities

• Champion a strong compliance and risk culture aligned with BMO’s purpose, values, and strategy, consistently modelling BMO’s values and behaviours.
• Lead, mentor, and develop a high‑performing compliance advisory team, fostering sound judgement, accountability, continuous improvement, and a digital‑first mindset.
• Attract, retain, and develop top compliance talent, building a strong leadership bench and ensuring sustainable team capability.
• Act as a trusted senior advisor to business and executive leaders, providing timely, practical guidance on regulatory obligations, emerging risks, and industry best practices.
• Influence and effectively challenge proposed solutions aligned with regulatory risk appetite and regulatory requirements ensuring regulatory adherence and integrity.
• Provide strategic insight and regulatory recommendations to senior leadership, informed by a deep understanding of regulatory requirements and the industry landscape.
• Deliver strong second‑line leadership and oversight of supervisory controls, risk assessments, monitoring, and key business processes to ensure alignment with regulatory requirements and BMO enterprise standards.
• Provide independent and effective challenge to first‑line teams, ensuring compliance considerations are embedded in product and compensation design, strategic initiatives, and operational decision‑making.
• Lead and oversee second line issues and regulatory change management, and ongoing compliance program management.
• Identify, assess, and expedite material compliance risks and issues; oversee effective remediation and validation activities to ensure timely and sustainable resolution.
• Oversee advertising and marketing reviews, and second‑line conflict of interest assessments.
• Lead regulatory engagement as the primary point of contact for examinations, including internal readiness, issue management, remediation oversight, and clear reporting to senior management and governance committees.
• Oversee the development and maintenance of clear compliance policies, procedures, conflict‑of‑interest oversight, and quality assurance frameworks.
• Deliver concise, insightful executive‑level reporting on the health of the BMO Investments Inc. compliance program to senior management and the Board of Directors.
• Maintain deep regulatory expertise and operate effectively in a dynamic environment shaped by evolving expectations, regulatory change, and audit scrutiny, taking on broader accountabilities as required.
• Perform additional responsibilities or broader accountabilities as required.

• 5+ years of relevant experience in a dealer compliance role, ideally within a mutual fund dealer, investment dealer, or regulatory environment, supported by a post‑secondary degree or an equivalent combination of education and experience.
• Strong working knowledge of CIRO and AMF rules related to business conduct compliance; experience with investment dealer regulation is a preferred asset.
• Demonstrated leadership capability or readiness to lead, with experience coaching, mentoring, or influencing others considered a strong asset.
• Demonstrated ability to apply sound regulatory judgment in complex situations, balancing regulatory obligations with practical business outcomes within a risk‑based framework.
• Experience leading or contributing to issues management, regulatory change initiatives, and ongoing compliance program management, ensuring risks are identified early and addressed effectively.
• Exceptional analytical, writing, and communication skills, with the ability to synthesize complex information and present clear, concise insights to senior and executive audiences.
• Strong problem‑solving skills with a proactive approach to risk identification, escalation, and resolution.
• Completion of recognized compliance or risk credentials is preferred (e.g., CCO, PDO, CAMS, or equivalent).
• Comfortable leveraging digital tools and technologies to enhance oversight, improve efficiency, and strengthen compliance outcomes.

• Lead and inspire a high‑performing team of compliance professionals while helping shape compliance strategy and priorities…