Senior Compliance Manager, Complaints, Reporting & Investigations (Mutual Fund Dealer)
BMO US(18 days ago)
About this role
A Senior Compliance Manager at BMO oversees complaints, reportable events, and investigations programs for the mutual fund dealer, ensuring all activities comply with relevant securities rules and regulations. The role involves leading a team, developing policies, and partnering with various stakeholders to enhance compliance and risk culture.
Required Skills
- Regulatory Compliance
- Investigation
- Reporting
- Risk Management
- Policy Development
- Stakeholder Engagement
- Team Leadership
- Securities Laws
- Regulatory Rules
- Complaint Handling
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.
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