Senior Compliance Manager, Advisory (Mutual Fund Dealer)
BMO US(20 days ago)
About this role
The Senior Compliance Manager, Advisory leads and manages a team of compliance professionals within BMO's second line of defense compliance function for mutual fund and investment dealers. The role focuses on delivering strategic compliance advisory support, overseeing compliance activities, and ensuring regulatory and operational risk mitigation across the organization.
Required Skills
- Regulatory Compliance
- Risk Management
- Team Leadership
- Regulatory Reporting
- Financial Regulations
- Compliance Testing
- Regulatory Examination
- Stakeholder Communication
- Financial Industry
- Policy Development
Qualifications
- BS in Finance or related field
- CAMS license
- CCO or PDO certification
- Experience with securities regulators
About BMO US
bmo.comBMO offers a wide range of personal and business banking services, including checking & savings accounts, loans, lines of credit, credit cards and more.
View more jobs at BMO US →Apply instantly with AI
Let ApplyBlast auto-apply to jobs like this for you. Save hours on applications and land your dream job faster.
More jobs at BMO US
Similar Jobs
Mutual Fund Attorney
Northwestern Mutual(2 months ago)
Intern - Fund Advisory
Santander(1 month ago)
Senior Compliance Officer: Private Side Advisory
Absa Bank(1 month ago)
Senior Manager, Compliance (AIA Investment Management)
AIA(1 month ago)
Summer Student - Compliance
Voya Financial(3 months ago)
Mutual Fund Paralegal
AllianceBernstein(1 month ago)