Vice President, Regulatory Transformation – Capital Markets

BMO•New York, NY

1d•$125,000 - $175,000•Hybrid

About The Position

BMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets We are seeking a Vice President with a strong understanding of the regulatory landscape, deep knowledge of Capital Markets (CM), and preferably a law degree to join our Regulatory Transformation (RT) team. Regulatory Transformation (RT) is part of the Capital Markets Office of the Chief Operating Officer (OCOO) and as a key business partner for regulatory matter plays a critical role in driving regulatory change that supports business growth, client needs, strategic priorities, and long-term value creation. The team sponsors and manages a central portfolio view of emerging regulatory developments, leads proactive preparation for upcoming changes, and leads business impact analysis through to the end-state target control environment. The team also supports the launch of new products or trading activity by advising on current live and new upcoming regulatory considerations. As a Vice President on the RT team, you will drive regulatory advocacy and interpret new regulatory requirements, while implementing new regulatory changes into our operating model and advising our business with respect to the impact of regulation.

Requirements

A university degree (preferably in law, though will consider engineering, finance, business management, or similar)
4+ years of experience in legal, management consulting or related field in financial services with active involvement in new regulation assessments and implementations
Strong understanding of global securities and derivatives regulatory frameworks including, for example, CFTC, SEC, CSA, and EU. An understanding and interest on the impact and intersection of generative AI on these frameworks will also be an asset.
Understanding of the financial product lifecycle: origination, primary market, secondary market and the associated business activities such as settlement, risk management, operations & accounting
Strong understanding of electronic trading platforms and ecosystem: algorithmic trading, market making, high-frequency trading.
Strong analytical and critical thinking skills to assess information, evaluate risks, and make informed judgments. Can approach problems from multiple perspectives and demonstrate sound reasoning.
Excellent oral and written communication skills; including the ability to understand and effectively communicate relevant industry regulations, impacts and implementation solutions to the business
Willingness to ask questions, challenge the process and seek out answers
Ability to work independently, multi-task, take ownership and drive strategy
A high level of professionalism, ethics and integrity

Nice To Haves

Project management certifications and / or equivalent experience
CSC, FINRA Series 7 or similar qualifications

Responsibilities

Build strong senior stakeholder relationships that will be required when performing complex analysis across multiple businesses
Lead interpretation working groups to drive consensus of new regulatory requirements, including the build out of BMO CM’s agentic Artificial Intelligence (AI) capabilities.
Lead business impact and gap analysis between current operating models and new regulatory requirements
Identifies and facilitates detailed client and Front Office (FO) processes’ impacts: client flows and outreach requirements, FO communications, FO product, trade surveillance and business conduct
Collaborate with various stakeholders to drive regulatory advocacy and thought leadership efforts on a cross-jurisdictional basis
Drive the creation of Capital Markets Regulatory Target Operating Model including core business and technology capabilities, roles and responsibilities, operating capacities and how the operating groups strategically organize to achieve compliance in line with business priorities
Provides leadership, training, coaching, and guidance to team members and impacted stakeholders
Develops and deliver impactful communications and presentations to cross-functional team members and stakeholders (business and IT), regulators, and senior management committees
Contribute to identifying in-scope emerging regulatory changes applicable to BMO CM.