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Senior Manager - (Capital Markets / Operations/ Risk & Compliance)

Toronto, ON
Full Time
2 days ago
250 Yonge Street

Job Family Group:
Business Management

Reporting into the Director, Risk and Compliance - T&O Risk and Internal Controls, this role will be responsible to:

1) Provide expert regulatory compliance support, guidance and advice to Capital Markets International Operations (CMIO) group in support of the Enterprise Compliance Program (ECP)
2) Contribute to the sound, efficient operation of Capital Markets Operation by improving the understand and execution of the risk requirements in accordance to the Enterprise Operation Risk Management Framework (ORMF).
3) Support the maintenance of the CMIO Process, Risk and Control (PRC)

Framework, Tool and Control Library to provide management a holistic view of the control environment.

With support from 2nd Line Compliance and the Director, Risk and Compliance - TORIC, this role provides will support the Operations group with:

1) Integration of business complexities with ECP and ORMF frameworks - Have expert knowledge and understanding of the Business Unit's product line and process to support the various elements of the enterprise frameworks, including risk assessments, monitoring and testing obligations, issue management and management reporting. The incumbent also ensures the effective rule interpretation and exercises due diligence in providing support across Capital Markets operations supporting broker dealer LOBs in Canada and the US.
2) Relationship Management - liaise with various levels of management across Operations, 2nd Line of Defense groups such as Compliance, Enterprise Risk Management and Legal as well as internal 3rd Line of Defense and external regulatory audit functions.
3) Change Management - support TORIC R&C and CMIO through a number of material changes, including implementation of a new governance, risk and compliance application and methodology.
4) Controls - this role will support CMIO in their accountabilities to maintain their controls (regulatory / non-regulatory / SOX controls) documented in the PRC control library.

Knowledge and Skills:

• University degree/college diploma or equivalent work experience
• 7-10+ years of related Compliance or Capital Markets operations experience
• Knowledge of standard desktop applications used by the business unit
• Expert knowledge and understanding of the business unit's product line
• Expert understanding of the business unit's operational risks and regulatory requirements
• Experience/knowledge with one or more areas required: FINRA / IIROC / SEC / OSC
• Advanced knowledge of departmental systems and applications
• Advanced knowledge of process and/or project management
• Banking Industry experience
• Expert strategic visioning
• Advanced project management skills
• Expert problem-solving and analytical skills
• Expert decision-making skills
• Expert prioritization skills
• Expert customer service and relationship management skills
• Expert managerial leadership skills
• Expert planning skills (re finance, resource, strategy, business)
• Advanced negotiation skills
• Expert conflict management/ resolution skills
• Expert change management skills
• Advanced facilitation/ presentation skills
• Advanced communication skills

We're here to help

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 .

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.
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