Analyst, Client Onboarding

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BMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets

Analyst, Client Onboarding

Mandate / Marketability

The Client Onboarding (COB) function, in liaison with clients and numerous teams inside and outside of Capital Markets, is designed to centrally facilitate the capture of onboarding requirements in order to enable service, product provision, and revenue generation. Through a centralized onboarding model, in conjunction and partnership with other support functions in the onboarding process (e.g. KYC, Legal, Credit, Central New Accounts, Operations, etc.), as well as the front office roles, our commitment is to deliver the highest standard of services to our clients and contribute to a great client experience overall.

As a Client Onboarding team member directly supporting the Global Markets line of business, the Analyst is responsible for:

Delivering great service levels to internal sales teams and external clients while maintaining strong risk management practices. Accountable for management of the end-to-end process from client intake right through to trade execution. Establishing and maintaining good working relationships with numerous stakeholder groups. Partnering with Operational Excellence, and other teams, to continually improve the function and service levels delivered.

Standardized processes is the foundation for delivering consistent, timely service to the client base and BMO must adhere to the requirements mandated by the Regulatory agencies that govern all of its business in all geographic locations.

Key Accountabilities

Execution

• Ensure that all new client onboarding requests, from the Lines of Business that the Analyst supports, are executed in a timely and accurate manner while ensuring we deliver “white glove” client service
• Ensure COB owned and broad CM client onboarding processes are well-defined; partner with other units to ensure appropriate controls & coordination in the overall onboarding process; use influence to deliver ongoing improvements in the overall end-to-end process of onboarding new clients into Capital Markets.
• Ensure no material defects/gaps and infrequent minor defects/gaps in operations / files and the onboarding process.
• Handle escalations appropriately by working to investigate and resolve issues while keeping senior management informed and/or further escalating as appropriate.
• Ensure client privacy and confidentiality is maintained throughout the onboarding and client operations process.

Strategy and Change Management

• Represent the Client Enablement function as appropriate leading or participating in meetings with LOB / desk heads and other areas of the firm (e.g. audit, 2nd line, senior management, operations, risk).
• Review and monitor service performance to identify gaps, issues and best practices; develop and implement action plans to close the gaps and resolve the issues (e.g., team notifications, procedural changes, remediation projects, etc.).
• Staying current with Onboarding/Regulatory practices of other banks in the region and of regulatory trends related to Onboarding/Operations and ensuring compliance with latest Onboarding related compliance (e.g. CIRO, FINRA, Dodd-Frank, SEC Security-Based Swaps, FATCA/CRS, Canadian Trade Reporting, National Instrument 93-101 etc). rules, guidelines, regulations and policies including by escalating risks to management.
• Working with the second line and other stakeholders to move to a globally integrated onboarding model.
• Act as a representative and work on projects and/or oversee project participation by COB staff.
• Assist with the implementation of technology to help streamline the front to back process.
• Produce management reporting as required.

Other tasks as assigned

Authorities

• Prioritize work in accordance with procedure and LOB ranking to maximize financial benefit and minimize customer negative impacts.
• Ensure receipt of appropriate approvals/ authorizations in accordance with P&Ps and regulatory requirements.
• Manage and monitor a complex portfolio of work representing a significant amount of revenue generation.
• Monitor compliance requirements. Ensure adherence to directives, policies & procedures and regulatory/ government requirements.

Scope & Impact

This job has direct or indirect impact on the following:

• Contributes to customer confidence and satisfaction by ensuring client onboarding experience is completed accurately and efficiently.
• Contributes to customer retention by ensuring requests to add more products are managed swiftly and effectively.
• Contributes to Bank financial performance by getting client through the acquisition phase to completion state in the swiftest timeframe allowing the Sales Organization to realize client revenue as soon as possible.
• Contributes to the mitigation of reputational risk and financial loss against such things as fraud, money laundering and/or financial penalties by ensuring compliance with Bank P&Ps and regulatory requirements.
• Relationships with Regulators (Canada, USA, U.K. and other jurisdictions, as applicable, as expansion plans are executed)

Failure to comply with applicable AML regulation can result in regulatory, reputational and monetary sanctions - both personal liability of employees in the line of business and institutional liability. These sanctions can have significant impact on BMOFG revenues and may result in lost business and increased regulatory scrutiny as well as a loss of shareholder value.

Cross Functional Relationships

• Sales Organizations in Capital Markets (Trading Products and I&CB) and P&C
• Capital Markets Business Services: AML groups, Client Data Management
• WBPO Operations: Middle and Back Office teams
• Corporate Support: Compliance, Legal, Technology, Risk, Enterprise AML

Knowledge & Skills

Knowledge:

• An undergraduate degree Finance, Economics, Engineering, Actuarial Science, Computer Science, Mathematics, Physics, or Statistics;

• Working knowledge of trading products across Global Markets as well as Investment & Corporate Banking products.
• Working knowledge of the competitive market place, trends and regulations in the industry
• Working knowledge of relevant regulations including CIRO, FINRA, FATCA/CRS, Dodd-Frank, SEC Security-Based Swaps, Canadian Trade Reporting and NI 93-101
• Fluency in Excel, including scripting and efficient spreadsheet design;

Skills:

• Proven ability to conceptualize business and stakeholder initiatives and to guide those initiatives as daily business requirements for the group.
• Excellent level of relationship management, interpersonal skills and the ability to strategically and ethically leverage these relationships in a demanding environment.
• Exceptional ability to independently manage multiple priorities and to proactively service multiple internal clients in a fast-paced environment.
• Ability to work a demanding schedule under limited supervision.
• Excellent attention to detail and ability to learn and adapt quickly.
• Ability to review, assess and provide detailed information daily.
• Proven ability to collaborate and build strong relationships with customers at all levels of the organization.
• Excellent verbal and written communication skills.
• Proven Account Management skills required in order to create, maintain and enhance customer relationships.
• Strong conflict management/ resolution skills.
• Strong organizational and prioritization skills.
• Strong technical writing ability.

Working conditions:

Regulatory environment, with constantly changing expectations and close regulatory and audit scrutiny. The role requires the ability to interact on a cross functional basis with other groups and with clients while operating independently. The role may be expected to work long hours.

Compensation

Salary range for this role located in Toronto is $65,000 - $85,000 CAD.

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.