Regional Compliance Officer - NBSL

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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.

What You'll Do

• Support the implementation, execution, and ongoing enhancement of First Line of Defense (1LOD) 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.

What We're Looking For

• 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 (1LOD) 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 practical, sustainable solutions.
• Strong stakeholder management, communication, and influencing skills, with the ability to work effectively across business, risk, compliance, legal, and audit functions.
• Experience leading or supporting complex projects, regulatory initiatives, or change management activities.
• Wealth Management, Brokerage, Private Wealth, Investment Advisory, or Capital Markets experience is an asset.
• Series 24 (General Securities Principal) licence strongly preferred.

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.

What You'll Do

• Support the implementation, execution, and ongoing enhancement of First Line of Defense (1LOD) 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.

What We're Looking For

• 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 (1LOD) 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 practical, sustainable solutions.
• Strong stakeholder management, communication, and influencing skills, with the ability to work effectively across business, risk, compliance, legal, and audit functions.
• Experience leading or supporting complex projects, regulatory initiatives, or change management activities.
• Wealth Management, Brokerage, Private Wealth, Investment Advisory, or Capital Markets experience is an asset.
• Series 24 (General Securities Principal) licence strongly preferred.

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.