Application Deadline:

03/30/2026

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 to deliver fair and timely client resolutions while upholding regulatory expectations and building client trust.
• Advance a strong compliance culture by continuously improving processes and reporting, and delivering meaningful insights that enhance monitoring, strengthen governance, and support sound decision-making across the dealer.
• Grow your career within a culture rooted in continuous learning, strong leadership development, a digital-first mindset, 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, Complaints, Reporting and Investigations, is responsible for leading the end-to-end complaints management, reportable events and regulatory investigations programs for BMO's mutual fund dealer, BMO Investments Inc. This role provides strategic oversight, interpretation, and application of relevant securities and self-regulatory organization (SRO) rules, by-laws and requirements primarily under the Canadian Investment Regulatory Organization (CIRO) and the Autorité des Marchés Financiers (AMF). The leader ensures that all client complaints, conduct issues, reportable events, investigations and regulatory inquiries are handled promptly, fairly, and in compliance with all applicable laws, requirements, rules, by-laws and internal policies.

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 and effectiveness of the dealer's complaints, reporting, and investigations program.

This role follows a HYBRID work model, with the number of required in-office days varying based on business and organizational needs. Currently 3 days in office is required.

Key Responsibilities

• Lead and mentor the Complaints & Reportable Events and Regulatory Investigations (RERI) teams, fostering a culture of sound judgment, high performance, superior risk management, accountability, and digital-first continuous improvement.
• Allocate and review team-related casework, manage performance, coach team members, and ensure appropriate and timely escalation of higher-risk issues.
• Develop and maintain clear policies and procedures, service standards, and quality assurance and oversight processes.

• Oversee the intake, assessment, resolution, and documentation of all client complaints, reportable events and regulatory investigations in accordance with Mutual Fund Dealer Rules 2.11, 300, 600, applicable AMF requirements and internal policies and procedures.
• Ensure client correspondence is written clearly and communicate fair, well-supported outcomes based on all relevant facts, and recommendations for resolution.
• Act as the primary regulatory point of contact for regulatory inquiries, complaints, investigations, reportable events and examinations for related items.

• Lead enhancements to complaint-handling policies, investigations and reporting procedures and workflow, and supervisory procedures.
• Identify and provide timely reporting on any systemic issues and provide second line independent effective challenge with business partners to implement corrective action.
• Support risk assessments, compliance testing, and internal audits relevant to complaints and RERI programs.
• Provide subject-matter expertise in the interpretation of all applicable rules, legislation, and guidelines affecting complaints handling, RERI and applicable dealer operations.
• Partner with Legal, Risk, Compliance (LRC), First Line stakeholders, Operations, Distribution, and Senior Leadership on emerging issues, trends, regulatory changes, dealer and enterprise initiatives.
• Deliver training to internal stakeholders on complaint-handling expectations, reporting obligations, trends, and regulatory obligations.
• Prepare executive-level reports and metrics for governance committees and BMO Investments Inc.'s board of directors.
• Consult on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
• Make recommendations to senior leaders on strategy and new initiatives.
• Effectively challenge monitoring and testing activities to ensure compliance controls are operating and aligned to regulatory requirements.
• Identify, assess, effectively challenge and oversee the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.
• Network with industry contacts to stay current on competitive insights and industry best practices.

Qualifications & Experience

• Typically, 8+ years of relevant experience in a complaints or investigations role, preferably within a mutual fund dealer, investment dealer, or applicable regulator. 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 related to complaints, investigations and reporting requirements for mutual fund dealers and preferably investment dealers.
• Exceptional analytical, writing, and communication skills.
• Ability to balance regulatory obligations with practical business considerations in a risk-based framework.
• Recognized compliance courses or equivalent preferred (i.e., CCO, PDO, CAMS)
• Strong communication skills both verbal and written.
• Exercise sound regulatory judgment and decision-making while providing effective leadership and talent development, demonstrating strong investigative and analytical capabilities, and ensuring proactive risk identification and timely issue escalation.
• Ability to synthesize complex information for senior audiences
• Comfortable with leveraging and enhancing digital tools and technologies to improve oversight and 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.