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Compliance Officer at BMO - ApplyBlast

Compliance Officer

BMO

4 months ago

3.6 on Glassdoor

Toronto, ON, CAN

Hybrid

Full Time

Junior

0 applicants

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About this role

This role involves assisting the Capital Markets Compliance team in administering employee trading and outside activities programs for BMO Financial Group. Key duties include reviewing trades, evaluating risks, ensuring regulatory obligations are met, and reporting on compliance matters to stakeholders.

Responsibilities

Review and process employee trades for compliance violations
Evaluate outside activity requests for regulatory adherence
Identify risks and implement mitigation actions
Report compliance data to key stakeholders
Escalate high-profile issues to management

Skills

Qualifications

BS degreeCanadian Securities CourseConduct and Practices Handbook knowledge

About BMO

bmo.com

Headquarters

Toronto, Ontario, Canada

Company Size

10001+ employees

Founded

1817

View Profile

BMO offers a wide range of personal and business banking services, including checking & savings accounts, loans, lines of credit, credit cards and more.