Capital Markets Compliance Associate

Position: Capital Markets Compliance Associate Role
Explore a Capital Markets Compliance Associate position with BMO Capital Markets in Toronto, Canada, emphasizing regulatory compliance and risk assessment. Drive compliance for diverse financial products while enhancing your expertise.

In this role, you will support the team's mission by monitoring compliance with OTC Derivative products and reviewing surveillance reports critically. Promote a culture of active compliance and collaborate with various stakeholders, ensuring adherence to legal regulations. Your background in capital market supervision will be instrumental in managing first-line monitoring controls.

Key Responsibilities:

• Collaborate with CMS to review surveillance reports

• Maintain compliance with applicable rules and regulations

• Analyze surveillance data for risk-indicator reporting

• Engage with other teams to drive compliance

• Assist in the development of supervisory procedures

Requirements:

• 1-2 years of experience in capital markets supervision

• Knowledge of Canadian OTC Derivative Dealer regulations

• Professional certifications such as CFA or CIRO are advantageous

• Strong decision-making and communication abilities

• University degree necessary

Contribute your skills in compliance and trading oversight to BMO Capital Markets’ success in the financial industry.
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