Regional Compliance Officer - NBSL

Final date to receive applications: 10/07/2026
• Address: 100 King Street West

BMO Private Wealth is part of BMO Financial Group, one of North America’s leading financial institutions. The business operates within a well-established wealth management platform, bringing together a range of specialized teams and capabilities to support consistent, scalable and well-governed operations across the organization. This role supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs (e.g., operational risk, AML, compliance, regulatory, etc.),

including overseeing business operations within the jurisdiction to ensure adherence and efficiency.

Contributes to a strong risk management culture through collaboration with other first line employees, and second & third line functions to ensure Compliance, AML or operational risks are identified, mitigated, monitored and reported on an ongoing basis. The successful candidate will play a key role in strengthening the organization’s risk management culture by providing advice on regulatory requirements, governance, controls, audits, and policy oversight within a highly regulated environment.

• Support the implementation, execution, and ongoing enhancement of First Line of Defense (1
  
  LOD) risk, compliance, governance, and control programs across multiple business areas within BMO Private Wealth.
• Provide guidance and support to business leaders on regulatory requirements, operational risk, compliance, AML, governance, and internal control matters.
• Monitor regulatory and industry developments, assess impacts to the business, and coordinate the implementation of required changes to policies, procedures, controls, and business practices.
• Lead the review, maintenance, and oversight of business policies, procedures, governance documentation, and control frameworks to ensure alignment with regulatory requirements and enterprise standards.
• Support internal audits, regulatory examinations, independent reviews, and issue remediation activities, including coordinating responses, tracking findings, and monitoring action plans through resolution.
• Partner with stakeholders across the first, second, and third lines of defense to identify, assess, monitor, and mitigate operational, compliance, and regulatory risks.
• Track and report on risk issues, exceptions, exemptions, and remediation activities to support effective governance and ongoing risk management.
• Support the execution of strategic initiatives, regulatory projects, and change management activities, ensuring risks are appropriately considered and mitigated throughout implementation.
• Develop and deliver training, awareness, and communication activities that strengthen employee understanding of risk management requirements and promote a strong culture of compliance and accountability.
• Build strong relationships with business leaders and key stakeholders, providing risk-based advice and recommendations that support effective decision-making and regulatory compliance.

• 5-7+ years of experience in Risk Management, Compliance, Operational Risk, AML, Audit, Regulatory Governance, Controls Oversight, or a related discipline within financial services.
• Experience supporting or managing First Line of Defense (1
  
  LOD) risk and compliance programs within a regulated environment.
• Strong understanding of risk management frameworks, internal controls, regulatory requirements, and governance practices.
• Experience supporting internal audits, regulatory examinations, policy reviews, issue management, and remediation initiatives.
• Demonstrated ability to assess regulatory requirements, identify gaps, and implement…