Compliance Officer, Continuing Education

BMO•Toronto, ON

4d•CA$61,600 - CA$113,900•Hybrid

About The Position

The Compliance Officer, Continuing Education is a senior role within the BMO Registrations and Continuing Education team, which supports the administration and oversight of the Continuing Education (CE) program for CIRO-IDD registered individuals across BMO. Reporting to the Manager, Registrations and Continuing Education, this role is accountable for ensuring CE requirements are accurately tracked, recorded, and reported in compliance with regulatory obligations, including CIRO Rule 2703. The role operates within established compliance frameworks and procedures, contributing to regulatory reporting, course accreditation processes, and stakeholder advisory support. The incumbent works independently on day-to-day CE operations while collaborating closely with Registrations, Compliance, and business partners.

Requirements

2-3 years of relevant experience in Continuing Education, Registrations or equivalent experience.
Working knowledge of CIRO-IDD requirements, including Rule 2703.
Understanding of compliance processes, controls, and regulatory reporting obligations.
Proficiency with MS 365 tools (Excel, SharePoint, OneDrive).
Strong attention to detail and accuracy.
Analytical thinking and problem-solving capability.
Effective written and verbal communication skills.
Ability to manage multiple priorities and meet deadlines.
Collaboration and stakeholder engagement skills.

Nice To Haves

Experience with data tracking and reporting tools (e.g., Power BI – asset).
Familiarity with CIRO Services, and/or NRD systems is preferred.
French language capability is considered an asset.

Responsibilities

Maintain accurate tracking of CE completion for all registrants using internal systems.
Process and validate CE certificate submissions, including manual entries and bulk uploads.
Manage updates to registrant profiles, including onboarding, terminations, category changes, and leave of absence entries.
Maintain documentation and records in accordance with regulatory retention standards.
Apply knowledge of CIRO-IDD CE requirements (Compliance and Professional Development credits) to ensure regulatory adherence.
Support preparation of CE completion reporting for submission to CIRO Services in accordance with defined timelines.
Monitor completion levels and follow up with registrants to mitigate non-compliance risks.
Identify and escalate issues, exceptions, or delays that may impact regulatory compliance.
Conduct reviews of internal training content to assess eligibility for CE accreditation.
Apply CIRO accreditation criteria to determine appropriate classification (Compliance vs. Professional Development).
Maintain accreditation documentation and ensure proper filing within SharePoint and internal repositories.
Partner with internal stakeholders to support the accreditation lifecycle, from submission through approval.
Provide guidance to registrants and business partners on CE requirements, processes, and timelines.
Support inquiries via the CE inbox and internal communication channels.
Collaborate with Registrations, Compliance, and business units to ensure consistent application of CE policies.
Support internal and external audit requests by providing required CE documentation and process information.
Ensure accuracy and completeness of CE data to support compliance testing and monitoring activities.
Identify opportunities to improve processes, controls, and reporting efficiency.