Senior Compliance Manager - Regulatory Engagement

BMO•Toronto, ON

3d•CA$94,600 - CA$176,000

About The Position

We are seeking a Senior Compliance Manager – Regulatory Engagement with strong expertise in CIRO rules, securities regulation, and technology‑driven change initiatives. The position has dual reporting lines to the Chief Compliance Officer, BMO Nesbitt Burns Inc., Private Client Division, and Private Wealth Canada, and to the Managing Director, Regulatory Engagement, Private Wealth. The successful candidate will play a key leadership role in a major platform modernization initiative (the “Project”), including preparing regulatory submissions, coordinating with regulators, and ensuring compliance with all applicable requirements.

Requirements

University degree and 8+ years of compliance or regulatory experience in financial services, including significant involvement in technology projects requiring regulatory approvals or exemptive relief.
Completion of the CSC, Investment Dealer Supervisors Course, or equivalent credentials.
Deep knowledge of CIRO rules, UMIR, securities laws, and Canadian trading requirements.
Strong understanding of electronic trading platforms and broader trading ecosystems.
Experience preparing or contributing to major regulatory change initiatives, including CIRO Notice of Material Business Change forms.
Strong analytical and critical‑thinking abilities; able to assess regulatory impacts and propose compliant solutions.
Exceptional written and verbal communication skills, particularly in translating technology and regulatory content for non‑technical stakeholders.
Ability to alternate between working independently and collaboratively.
High professionalism, ethics, and integrity.
Ability to navigate ambiguity, manage multiple priorities, and work effectively in a fast‑moving project environment.

Nice To Haves

Experience with regulatory audits, including CIRO panel audits.
Experience in monitoring and testing programs.
Project management certifications or equivalent experience.
Prior status as an Approved Person under CSA or CIRO rules or experience at a regulator.

Responsibilities

Prepare, coordinate, and assist finalizing required regulatory submissions and applications for approval and/or exemptive relief, particularly with CIRO.
Document current‑state and future‑state operating models, identifying required compliance impacts.
Ensure regulatory documentation is complete, accurate, and aligned with Project timelines.
Provide compliance leadership for technology and process modernization, ensuring alignment with applicable rules and regulations, trading requirements, and internal policies.
Support changes to compliance programs, supervisory controls, and monitoring frameworks resulting from the Project.
Participate in monitoring, testing, risk assessments, and audit processes triggered by modernization changes.
Broader accountabilities as may be required.
Build and maintain strong senior‑level stakeholder relationships across business, operations, technology, risk, legal & regulatory compliance, and other groups.
Lead and influence cross‑functional discussions to drive regulatory readiness and business engagement.
Develop communications, briefings, and presentations for internal stakeholders, senior committees, and regulators.