Capital Markets, Senior Compliance Officer
Core
Senior Compliance Officer responsible for implementing, maintaining, and administering the Capital Markets Compliance Program, focusing on equity activities and providing real-time regulatory guidance.
Role type
Senior IC compliance officer (Capital Markets/Equities)
Builds
Compliance frameworks, surveillance tools, and monitoring programs for BMO's Capital Markets and equity businesses
Domain
Financial Services / Capital Markets / Equity Trading
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory knowledge (SEC, FINRA, exchange rules), surveillance review, risk assessment, policy development, testing and analysis, root cause analysis, stakeholder partnership
Preferred skills
Equity market activities knowledge (communications, best execution, order handling), options trading expertise, Series 7/63/24 certifications
Technologies
Surveillance systems, investigation methodologies, testing protocols
Responsibilities
Conduct surveillance reviews and evaluate compliance analytics; Identify potential issues with surveillance tools and process enhancements; Respond to inquiries from auditors and regulators; Execute testing and analyze KPIs to ensure policy compliance; Review electronic communications for anomalies; Provide guidance to traders and staff on new regulations; Monitor regulatory developments and update policies; Partner with business, legal, and risk teams on new products and process changes.
Seniority
Senior, hands-on IC
