Senior Compliance Officer - Regulatory & Advisory

Final date to receive applications: 08/14/2026

Address: 100 King Street West

Job Family Group:
Audit, Risk & Compliance

BMO Nesbitt Burns, Private Client Division is a core part of PMO Private Wealth, and it operates as one of North America’s leading full-service investment advisory firms.

We are seeking a Senior Compliance Officer – Regulatory & Advisory with a strong understanding of the regulatory landscape and knowledge of CIRO rules, to join our Compliance team. This role has dual reporting lines and reports to the Chief Compliance Officer, BMO Nesbitt Burns, Private Client Division, and BMO Private Wealth Canada, with a dual reporting line into the Senior Compliance Manager, Regulatory & Advisory.

As a key member of the Compliance team, you will focus on regulatory developments, change management, and reporting. Excellent written and oral communication skills, strong knowledge of CIRO rules, and project management experience are required.

This role requires you to:

• Have a strong understanding of Private Wealth, and of applicable CIRO rules and the broader securities regulatory landscape.
• Assist lead regulatory change initiatives and coordinate various stakeholders to ensure compliance with new regulatory developments, and to support regulatory initiatives and compliance program changes, and ensure alignment with CIRO and other rules, including leading change management processes
• Contribute to regulatory reporting of regulatory developments, regulatory initiatives and compliance program changes
• Deploy appropriate methodologies and governance tools, to drive the timely delivery of analysis and agreed solution approach for any regulatory or compliance program initiative
• Support the CCO on assigned tasks as required

• Project management certifications or equivalent experience
• Prior experience as an Approved Person or working at a securities regulator
• Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them.
  
  Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures manuals for requirements. Contributes to business/group results by providing oversight and making recommendations that significantly impact the Bank’s ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies.
• Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs.
• Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
• Influences to achieve effective regulatory compliance controls that enable business objectives.
• Identifies and advises on emerging issues and trends to inform decision-making.
• Helps determine business priorities and best sequence for execution of business/group strategy.
• Builds effective professional relationships with business group, internal/external stakeholders and trust with regulators.
• Analyses and reports on compliance data, and related data to gain insights on regulatory risk.
• Oversees the development and maintenance of guidelines and procedures, providing advice/rulings as necessary, for a single function within a geographic area.
• Participates in the design, implementation and management of core business/group processes.
• Conducts and/or…