Senior Compliance Manager, Advisory (Mutual Fund Dealer)

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This is a leadership role within BMO’s Compliance team, supporting BMO Investments Inc., our mutual fund dealer. You’ll lead a team that provides practical, forward‑looking compliance advice, while also helping ensure our compliance program is strong, effective, and aligned with regulatory expectations.

In this role, you’ll oversee key second‑line compliance activities across the dealer, including risk assessments, effective challenge, monitoring, and testing. Your team will both perform and challenge compliance work to ensure we meet requirements set by securities regulators, self‑regulatory organizations, and BMO’s Enterprise Compliance Program. Your guidance and recommendations will directly impact how the business manages risk and responds to regulatory expectations.

You’ll play a central role in regulatory exams, regulatory change initiatives, and issue management, while providing thoughtful, independent challenge to the business. You’ll also prepare clear, meaningful reporting for senior leadership and help promote a strong culture of integrity, compliance, and risk awareness across the organization. We’re looking for someone with deep experience in mutual fund dealer regulation and business conduct requirements (investment dealer experience is a strong asset), solid familiarity with OSFI expectations, and a track record of delivering smart, practical compliance solutions that support business goals without compromising regulatory standards.

This role is an opportunity to make a real impact-helping shape effective supervision, proactively identifying and managing conduct and regulatory risks, and enhancing how compliance provides advice to the business every day.

Key Responsibilities:

• Champion a strong compliance and risk culture aligned with BMO’s purpose, values, and strategy, consistently modelling BMO’s values and behaviours.

• Lead, mentor, and develop a high‑performing compliance advisory team, fostering sound judgement, accountability, continuous improvement, and a digital‑first mindset.

• Attract, retain, and develop top compliance talent, building a strong leadership bench and ensuring sustainable team capability.

• Act as a trusted senior advisor to business and executive leaders, providing timely, practical guidance on regulatory obligations, emerging risks, and industry best practices.

• Influence and effectively challenge proposed solutions aligned with regulatory risk appetite and regulatory requirements ensuring regulatory adherence and integrity.

• Provide strategic insight and regulatory recommendations to senior leadership, informed by a deep understanding of regulatory requirements and the industry landscape.

• Deliver strong second‑line leadership and oversight of supervisory controls, risk assessments, monitoring, and key business processes to ensure alignment with regulatory requirements and BMO enterprise standards.

• Provide independent and effective challenge to first‑line teams, ensuring compliance considerations are embedded in product and compensation design, strategic initiatives, and operational decision‑making.

• Lead and oversee second line issues and regulatory change management, and ongoing compliance program management.

• Identify, assess, and escalate material compliance risks and issues; oversee effective remediation and validation activities to ensure timely and sustainable resolution.

• Oversees advertising and marketing reviews, and second-line conflict of interest assessments.

• Lead regulatory engagement as the primary point of contact for examinations, including internal readiness, issue management, remediation oversight, and clear reporting to senior management and governance committees.

• Oversee the development and maintenance of clear compliance policies, procedures, conflict‑of‑interest oversight, and quality assurance frameworks.

• Deliver concise, insightful executive‑level reporting on the health of the BMO Investments Inc. compliance program to senior management and the Board of Directors.

• Maintain deep regulatory expertise and operate effectively in a dynamic environment shaped by evolving expectations, regulatory change, and audit scrutiny, taking on broader accountabilities as required.

• Performs additional responsibilities or broader accountabilities as required.

Qualifications & Experience:

• 5+ years of relevant experience in a dealer compliance role, ideally within a mutual fund dealer, investment dealer, or regulatory environment, supported by a post‑secondary degree or an equivalent combination of education and experience.

• Strong working knowledge of CIRO and AMF rules related to business conduct compliance; experience with investment dealer regulation is a preferred asset.

• Demonstrated leadership capability or readiness to lead, with experience coaching, mentoring, or influencing others considered a strong asset.

• Demonstrated ability to apply sound regulatory judgment in complex situations, balancing regulatory obligations with practical business outcomes within a risk‑based framework.

• Experience leading or contributing to issues management, regulatory change initiatives, and ongoing compliance program management, ensuring risks are identified early and addressed effectively.

• Exceptional analytical, writing, and communication skills, with the ability to synthesize complex information and present clear, concise insights to senior and executive audiences.

• Strong problem‑solving skills with a proactive approach to risk identification, escalation, and resolution.

• Completion of recognized compliance or risk credentials is preferred (e.g., CCO, PDO, CAMS, or equivalent).

• Comfortable leveraging digital tools and technologies to enhance oversight, improve efficiency, and strengthen compliance outcomes.

You will have the opportunity to:

• Lead and inspire a high‑performing team of compliance professionals while helping shape compliance strategy and priorities across the dealer.

• Work closely with senior leaders, providing oversight, risk management, and regulatory advice that directly influences business decisions and outcomes.

• Grow your career in a role designed as a strong stepping stone to future executive leadership opportunities, including potential progression to Chief Compliance Officer (CCO).

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.

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.