Sr. Compliance Officer, LRC
BMO US(21 days ago)
About this role
An Equities Compliance Vice President at BMO Financial Group will support the implementation and management of the Capital Markets Compliance Program. This role involves providing regulatory guidance, performing risk assessments, monitoring compliance activities, and ensuring adherence to securities laws and regulations within the firm's equity activities.
Required Skills
- FINRA Rules
- SEC Rules
- Compliance
- Risk Management
- Monitoring
- Surveillance
- Regulatory Compliance
- Equities
- Monitoring Tools
- Data Analysis
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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