BMO 请 Associate Compliance Officer

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公司：BMO
职位：Associate Compliance Officer

工作内容

·         Develop, maintain and implement changes to the firm’s compliance and registration policies & procedures to ensure that the firm’s compliance program keeps pace with applicable regulatory developments.

·         Conduct monitoring of registration activities in accordance with the Enterprise Compliance Framework.

·         Identify opportunities to implement policies and procedures for greater efficiencies, cost minimization and improve service levels for business partners

·         Manage risk and minimize losses through monitoring and controlling firm and individual licensing requirements.

·         Conduct internal investigations regarding civil, criminal, financial and regulatory disclosure information is reviewed respecting a registrant’s status and background.

·         Provide advice and guidance to Branches, Lines of Business, HR, PCG Learning and Corporate Secretaries Offices on related registration matters.

·         Partner with Finance, Legal, Branches, and other departments to ensure a variety of regulatory filings are made within prescribed timelines.

·         Ensure operational integrity and privacy measures are maintained and safeguarded with the LOB and compliance department.

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