Senior Compliance Manager, Advisory (Mutual Fund Dealer)

Date limite pour présenter sa candidature :

Adresse :

Groupe de famille d'emploi :

You will have the opportunity to:

• Lead a team of high-performing compliance professionals and influence compliance strategy.

• Partner directly with senior leaders and drive meaningful impact through oversight, risk mitigation, and regulatory advisory that shapes business decisions.

• Grow your career within a culture rooted in continuous learning, strong leadership development, digital-first, and opportunities to advance.

If you're looking for a role where your voice matters, your expertise is valued, and your leadership strengthens both the business and the client experience - this is it.

Position Summary

The Senior Compliance Manager, Advisory is a key leadership role within the second line of defense compliance function for BMO’s mutual fund dealer, BMO Investments Inc. This position is responsible for leading a team that delivers proactive, strategic compliance advisory support; oversees second line compliance activities across the dealer; and ensures the overall effectiveness of the compliance program.

The role manages a team that performs and/or challenges risk assessments, monitoring, testing to ensure ongoing alignment with regulatory requirements including those established by securities regulators, self-regulatory organizations, and BMO’s Enterprise Compliance Program. It contributes to business and group objectives by providing effective oversight and recommendations that materially strengthen the Bank’s ability to mitigate operational risk and meet regulatory expectations.

Key responsibilities include leading regulatory examinations, supporting regulatory change and issue management, providing independent and effective challenge to the business, reporting to senior leadership and fostering a strong culture of compliance and risk awareness throughout the organization.

The ideal candidate brings deep knowledge and experience across both mutual fund dealer and (preferred) investment dealer business conduct regulatory environments, strong familiarity with OSFI requirements, and a proven ability to deliver innovative, practical compliance solutions that support business objectives while maintaining regulatory integrity.

This role plays a critical part in strengthening BMO’s regulatory compliance and risk culture by supporting strong and effective supervision; proactively identifying, mitigating, and managing conduct, regulatory, and reputational risks across the dealer; and providing clear reporting on the status of the dealer’s compliance program.

Key Responsibilities

• Fosters a culture aligned with BMO’s purpose, values, and strategy, and consistently models BMO’s values and behaviours.
• Leads and mentors a team of compliance professionals, promoting sound judgement, high performance, strong risk management, accountability, and a digital first culture of continuous improvement.
• Provides timely, expert compliance guidance to business partners across the dealer on regulatory obligations, emerging risks, and industry best practices.
• Advises and influences the business on the implementation of solutions aligned to regulatory risk appetite, grounded in a deep understanding of business operations and stakeholder needs.
• Makes recommendations to senior leaders on strategy and new initiatives based on an in-depth understanding of the business and industry landscape.
• Delivers robust second line oversight of supervisory controls, risk assessments, monitoring activities, and business processes to ensure alignment with regulatory requirements and BMO enterprise standards.
• Offers independent and effective challenge to first line businesses, ensuring compliance considerations are integrated into product changes, strategic initiatives, and operational processes.
• Identifies, assesses, and effectively challenges issues and provides oversight to ensure satisfactory resolution, including ensuring remediation plans and validation activities are adequate. Escalates high profile issues and risk cases to compliance and business leadership for timely resolution.
• Provides input to the business on emerging risks, regulatory developments, and regulatory interpretation.
• Supports business leadership in communicating and implementing changes to applicable regulatory policies and procedures.
• Oversees second line review of outside activities to ensure material conflicts are appropriately identified, assessed, and managed.
• Develops and maintains clear policies, procedures, service standards, and quality assurance and oversight processes.
• Serves as the primary point of contact for regulatory examinations, coordinating internal preparedness, documentation gathering, and stakeholder engagement to ensure timely, accurate, and complete responses.
• Leads post examination activities, including action plan review, remediation oversight, and reporting to senior management.
• Prepares executive level reports and metrics on the state of BMOII’s compliance program for governance committees and the BMO Investments Inc.'s Board of Directors.
• Reviews dealer-related marketing material and client communications.
• Attracts, retains, and develops top talent.
• Drives team performance by recognizing excellence, providing coaching, supporting career development, and managing performance issues appropriately.
• Maintains a high level of expertise in all applicable regulations, directives, and guidance relevant to the supported business groups.
• Conducts and/or challenges risk assessments for the business to identify opportunities for more effective compliance controls.
• Operates effectively in a dynamic environment characterized by evolving expectations, regulatory change, and audit scrutiny.
• Performs additional responsibilities or broader accountabilities as required.

Qualifications & Experience

• Typically 8+ years of relevant experience in a dealer compliance role, preferably with a mutual fund dealer, investment dealer, or applicable regulatory body. Possesses a post‑secondary degree in a related field, or an equivalent combination of education and experience.
• Detailed knowledge of CIRO and AMF rules as they relate to business conduct compliance for mutual fund dealers and (preferred) investment dealers, along with familiarity with AML and Privacy regulatory frameworks.
• Managerial and people leadership experience preferred.
• Exceptional analytical, writing, and communication skills.
• Demonstrated ability to balance regulatory obligations with practical business considerations within a risk based framework.
• Completion of recognized compliance courses or equivalent preferred (e.g., CCO, PDO, CAMS).
• Exercises sound regulatory judgment and decision making while providing effective leadership, talent development, and strong analytical and practical problem-solving capabilities.
• Ensures proactive risk identification and timely issue escalation.
• Ability to synthesize complex information and present it clearly and concisely to senior audiences.
• Comfortable leveraging and enhancing digital tools and technologies to strengthen oversight practices and improve operational effectiveness.

Salaire :

Type de rémunération :

Ce qui précède représente la fourchette et le type de rémunération de BMO Groupe financier.

Les salaires varieront en fonction de facteurs comme l’emplacement, les compétences, l’expérience, les études et les qualifications pour le poste et pourront inclure une structure de commissions. Les salaires pour les postes à temps partiel seront calculés au prorata du nombre d’heures travaillées régulièrement. Pour les rôles à commission, le salaire susmentionné représente la cible de BMO Groupe financier pour la première année au poste.

La rémunération totale offerte par BMO variera selon le type de rémunération associé au poste et peut comprendre des primes de rendement, des primes discrétionnaires ainsi que d’autres avantages et récompenses. BMO offre également une assurance santé, le remboursement des frais de scolarité, une assurance accident et une assurance vie, ainsi que des régimes d’épargne-retraite. Pour en savoir plus sur nos avantages sociaux, consultez le site : https://jobs.bmo.com/ca/fr/R%C3%A9mun%C3%A9ration-globale

À propos de nous

À BMO, nous sommes animés par une raison d’être commune : Avoir le cran de faire une différence dans la vie, comme en affaires. Cette raison d’être nous invite à entraîner des changements positifs et durables pour nos clients, nos collectivités et nos gens. En travaillant ensemble, en innovant et en repoussant les limites, nous transformons des vies et des entreprises et favorisons la croissance économique partout dans le monde.

En tant que membre de l'équipe de BMO, vous êtes valorisé, respecté et entendu, et vous avez plus de moyens pour progresser et obtenir des résultats. Nous nous efforçons de vous aider à obtenir des résultats dès le premier jour, pour vous-même et nos clients. Nous vous offrirons les outils et les ressources dont vous avez besoin pour franchir de nouvelles étapes, car vous aidez nos clients à franchir les leurs. Au moyen de formation et de coaching approfondis ainsi que de soutien de la direction et d'occasions de réseautage, nous vous aiderons à acquérir une expérience enrichissante et à élargir votre groupe de compétences.

Pour en savoir plus, visitez-nous à l'adresse https://jobs.bmo.com/ca/fr.

BMO s'engage à offrir un milieu de travail inclusif, équitable et accessible. Nous apprenons de nos différences et tirons notre force des gens et de leurs différents points de vue. Des mesures d’adaptation sont disponibles sur demande pour les candidats qui participent à tous les aspects du processus de sélection. Pour demander des mesures d’adaptation, veuillez communiquer avec votre recruteur.

Remarque aux recruteurs : BMO n’accepte pas les curriculum vitæ non sollicités provenant de toute source autre que le candidat directement. Tout curriculum vitæ non sollicité envoyé à BMO, directement ou indirectement, sera considéré comme la propriété de BMO. BMO ne paiera aucuns frais pour les placements découlant de la réception d’un curriculum vitæ non sollicité. Une agence de recrutement doit d’abord détenir une entente de service écrite valide et dûment signée avant d’envoyer des curriculum vitæ.