Application Deadline:

04/29/2026

Address:
100 King Street West

Job Family Group:

Audit, Risk & Compliance

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.

Salary :

$94,600.00 - $176,000.00

Pay Type:

Salaried

The above represents BMO Financial Group's pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.

BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards

About Us

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.

To find out more visit us at https://jobs.bmo.com/ca/en .

BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other's differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.

Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.