Sr. Compliance Officer, LRC

Job description

Application Deadline: 04/24/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance The Equities Compliance Vice President will assist in effective implementation, maintenance and administration of the Capital Markets Compliance Program. The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and performs monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program. The Equities Compliance Vice President will be expected to have functional knowledge of a host of equity topics, such as, FINRA Rules 2210, 3130, 5310, as well as SEC Rules 605/6, 15c3-5. The role works closely with the relevant other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. This role will have a specific focus on compliance oversight over BMO’s Capital Markets and equity activities. The Capital Markets Compliance, Equities Compliance Vice President will maintain current knowledge of regulatory requirements and developments, monitors risk and identifies and corrects possible gaps and weaknesses. This individual wi...