Compliance Manager for Regulatory Engagement

Lead compliance initiatives at BMO Nesbitt Burns as the Senior Compliance Manager focused on Regulatory Engagement. This role emphasizes expertise in securities regulation and involves significant regulatory submissions.

In this leadership position, you will report to both the Chief Compliance Officer and the Managing Director of Regulatory Engagement. Your expertise in CIRO rules and financial services compliance will directly influence a major modernization project within BMO Private Wealth. You will play a pivotal role in ensuring compliance, preparing regulatory documentation, and engaging with stakeholders throughout the process.

Key Responsibilities:

• Prepare and finalize regulatory submissions and applications

• Lead compliance initiatives for technology modernization

• Build senior-level relationships across various departments

• Develop communications and presentations for internal committees

• Participate in monitoring and audit processes triggered by changes

Requirements:

• 8+ years in compliance or regulatory roles

• University degree and relevant certifications

• Deep knowledge of CIRO rules and securities regulation

• Strong analytical and critical-thinking skills

• Experience with regulatory audits or testing programs

Bring your regulatory expertise and leadership skills to drive compliance at BMO Nesbitt Burns.
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