Sales Practice & Conduct Risk Analyst

BMO•Greenwood Village, CO

1d•$55,000 - $120,000

About The Position

The Sales Practices & Conduct Risk Advisor supports the U.S. Personal & Business Banking Sales Practices and Conduct Program through research, monitoring, investigations, risk assessments, procedural oversight, and governance reporting. The role serves as a subject matter expert on sales practices risk and provides advisory support and challenge to line-of-business partners to promote ethical sales conduct, customer-focused outcomes, and compliance with regulatory and internal expectations. The position researches potential sales practices concerns, analyzes trends and emerging risks, maintains and executes program procedures, supports governance forums, and recommends ways to strengthen controls and reduce conduct risk. It exercises judgment to identify and solve problems within established rules and independently handles a range of complex tasks, including unique situations. The focus is primarily on a business or group within BMO, with a possible broader U.S. Banking focus. Broader work or accountabilities may be assigned as needed.

Requirements

Bachelor's degree or equivalent experience.
3–7+ years of experience in Risk Management, Compliance, Internal Audit, Investigations, Employee Relations, Banking Operations, Governance, or a related field.
Strong analytical and critical-thinking skills.
Experience conducting research, investigations, or issue analysis.
Excellent written and verbal communication skills.
Ability to influence and communicate effectively across all organizational levels.
Strong organizational and project management capabilities.

Responsibilities

Conduct research and fact-finding regarding alleged sales practices misconduct, unethical behavior, customer complaints, employee concerns, and transactional monitoring alerts.
Analyze information from sources including Employee Relations, Ethics, Compliance, Global Investigations, customer complaints, and internal monitoring programs.
Document findings, determine appropriate dispositions, and escalate matters according to established procedures.
Support investigations by collecting, analyzing, and synthesizing relevant facts and documentation.
Identify patterns, trends, and systemic issues that may indicate increased conduct or sales practices risk.
Identify and minimize negative impacts to the business and suggest risk-mitigation strategies.
Track information requests and corresponding approvals.
Build awareness, knowledge, and skills; provide communications, practical tools, ongoing support, and presentations to promote risk identification and management.
Develop and maintain procedures, job aids, and program documentation.
Prepare executive-level reports, presentations, and risk summaries.
Support governance committees, working groups, and leadership forums with reporting and analysis.
Track action items, issues, and program enhancements through completion.
Analyze program impact and effectiveness through periodic reviews and recommend adjustments to the program, policy, or processes in accordance with Policy.
Support internal and external audits or regulatory examinations and assist in developing action plans to resolve identified issues.
Support development and delivery of training and awareness programs to increase understanding of and compliance with risk management requirements.
Exercise judgment to identify, diagnose, and solve problems within given rules; independently manage a range of complex tasks, including unique situations.
Perform broader work or accountabilities as assigned.