Capital Markets, Senior Compliance Officer

BMO • New York, NY

7d • $90,000 - $180,000

About The Position

The Capital Markets Senior Compliance Officer assists in implementing, maintaining, and administering the Capital Markets Compliance Program, with a specific focus on oversight of BMO’s Capital Markets and equity activities. The role provides compliance advice and coordinates and performs ongoing risk assessments, monitoring, and surveillance to keep the program current and aligned with the Firm’s Enterprise-wide Compliance Program. It works with internal business partners to help meet regulatory, corporate, and fiduciary obligations and maintains current knowledge of applicable regulatory requirements and developments.

The officer provides real-time guidance to Capital Markets management on new regulatory policies and Bank products, and supports implementation of new or revised policies and programs. The role maintains compliance information for analysis and reporting; evaluates surveillance analytics and findings; identifies potential issues and improvements to surveillance tools and processes; and communicates and escalates issues for timely resolution. It also supports the CMC equity program and the development and execution of its monitoring framework and compliance responsibilities.

The position involves supporting the Equity Compliance Program for FINRA broker-dealer requirements, performing testing and analyzing key performance indicators, and supporting root-cause analysis after material control failures. It includes reviewing electronic communications, analyzing data to identify risk patterns, advising business partners on products and process changes, monitoring regulatory developments affecting equities, and supporting policy updates, risk assessments, issue remediation, and regulatory inquiries. The officer provides guidance to traders, sales staff, operations, and supervisory personnel, with particular attention to SEC and FINRA developments.

Requirements

• Bachelor’s degree required.
• At least 5 years of experience with a financial services firm in a compliance role, or equivalent experience at a regulator.
• Strong knowledge of applicable securities laws, rules, and regulations, and the ability to assess their impact on the firm.
• Strong communication, critical-thinking, relationship-management, and project-management skills.
• Deep operational and regulatory knowledge across SEC, FINRA, and exchange rules.
• Strong understanding of options trading and market structure.
• Experience across multiple compliance functional areas, including surveillance, investigations, testing, and reporting.
• Expertise in surveillance systems, investigation methodologies, and testing protocols.
• Ability to translate complex regulatory requirements into practical operational procedures.
• Demonstrated analytical and problem-solving skills, including synthesizing complex information and making actionable recommendations.
• Ability to work independently and remain highly motivated.
• Ability to multitask, plan, and prioritize a large volume of detail-oriented work amid changing deadlines.
• Ability to build relationships with stakeholders, lead projects to completion, and contribute to process improvements.

Nice To Haves

• Strong knowledge of multiple equity market activities, including communications, SEC Rules 605/606, supervision, best execution/order handling, and SEC Rule 15c3-5.
• Series 7, 63, or 24 licenses are a plus.

Responsibilities

• Assist with effective implementation, maintenance, and administration of the Capital Markets Compliance Program.
• Provide compliance advisory services and coordinate and perform ongoing risk assessments, monitoring, and surveillance.
• Provide real-time guidance to Capital Markets management on new regulatory policies and Bank products, and assist with implementing revised policies and programs.
• Develop and maintain compliance information for analysis and reporting.
• Conduct surveillance reviews and evaluate the accuracy, reliability, and integrity of compliance analytics and findings.
• Identify potential issues with surveillance tools and processes, develop enhancement scenarios, and communicate and escalate issues for timely resolution.
• Strengthen detection capabilities and innovation within the compliance program.
• Respond to auditor and regulator inquiries and participate in initiatives supporting regulatory adherence and documentation.
• Support the CMC equity program, including building and executing its monitoring framework and compliance responsibilities.
• Assist in developing the Equity Compliance Program for FINRA broker-dealer requirements and related oversight.
• Execute testing and analyze key performance indicators to ensure line-of-business policies and programs meet regulatory expectations; support root-cause analysis of material control failures.
• Review electronic communications and analyze multiple data types to identify anomalies and risk patterns.
• Anticipate consequences of unaddressed risk factors or compliance shortfalls and recommend appropriate controls.
• Partner with business, legal, risk, and operations teams to provide compliance input on new products, initiatives, and process changes.
• Monitor regulatory developments affecting equities businesses and assist with updating policies and procedures.
• Participate in risk assessments, issue tracking, and remediation of control gaps and regulatory findings.
• Provide guidance to traders, sales staff, operations, and supervisory personnel on regulations and interpretations, particularly SEC and FINRA developments.
• Maintain expertise in regulations, directives, and guidance applicable to supported Equity groups.
• Lead projects through completion, provide process and technical expertise and consulting, and lead process improvements based on post-mortem analysis.
• Use feedback to improve processes in collaboration with leadership teams across departments.

Benefits

• Health insurance
• Tuition reimbursement
• Accident insurance
• Life insurance
• Retirement savings plans
• Performance-based incentives, discretionary bonuses, and other perks and rewards may be included in the total compensation package.
• Training, coaching, manager support, and network-building opportunities

What This Job Offers

• Job Type: Full-time
• Career Level: Senior