BMO · 1 month ago
Vice President, Capital Markets Conduct Risk Management
New York, NY, USA
Full-time
Onsite
Mid, Senior Level
$100K/yr - $152K/yr
5+ years expBMO Capital Markets is a leading, full-service financial services provider. The VP, Capital Markets Conduct Risk Management, will oversee the conduct risk framework and related activities, collaborating with various stakeholders to ensure compliance and promote a culture of risk management.
BankingCrowdfundingFinanceFinancial Services
Responsibilities
Develop and Implement Conduct Risk Frameworks: Design and implement conduct risk frameworks and policies to ensure compliance with regulatory standards and internal policies
Risk Assessment and Monitoring: Conduct regular risk assessments and monitoring activities to identify, assess, and mitigate conduct risks within the capital markets division
Regulatory Compliance: Ensure that the organization is in compliance with all relevant regulatory requirements related to conduct risk. Stay updated on changes in regulations and ensure timely implementation of necessary changes
Stakeholder Collaboration: Work closely with senior management, legal, compliance, and other relevant stakeholders to promote a culture of integrity and accountability
Training and Awareness: Develop and deliver training programs to enhance awareness and understanding of conduct risk among employees
Incident Management: Lead investigations into conduct-related incidents, ensuring that root causes are identified, and appropriate corrective actions are taken
Reporting and Communication: Prepare and present reports on conduct risk issues to senior management and the board of directors, providing insights and recommendations for improvement
Benchmarking and Best Practices: Stay informed about industry best practices and trends in conduct risk management and incorporate them into the organization's risk management strategies
Leadership and Team Management: Lead and manage a team of conduct risk professionals, providing guidance, support, and development opportunities
Continuous Improvement: Drive continuous improvement initiatives to enhance the effectiveness and efficiency of conduct risk management processes
Qualification
Required
5+ years of strategy, compliance, regulatory, conduct risk or business risk management experience
Strong product knowledge and understanding of capital markets activities, risk taxonomies and applicable regulations surrounding them
Knowledge of the Broker Dealer and Banking Regulations, which include but not limited to SEC, FINRA, OCC, FRB, NFA and CFTC
Demonstrated analytical, auditing, writing, communications, and presentation skills
Strong collaborative skills
Excellent Excel spreadsheet manipulation and data analytic skills; familiarity with PowerBI, Python and other programming scripts skills a plus
Strong relationship management skills: ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions
Proven project management capabilities and an ability to co-ordinate the efforts of people and resources not under their direct control
Ability to read technical compliance material and distil the applicability of the regulations to respective business unit(s)
Ability to deal with sensitive issues with tact and discretion
Excellent judgment and interpersonal skills, who can consult, influence, collaborate, and appropriately escalate issues
Strong analytical skills – analyze the evidence collected on remediated controls and determine if there is substantive conformance with requirements
Ability to communicate questions and requests in a professional and clear manner
Operate effectively within a demanding environment with constant regulatory and audit scrutiny
Ability to work independently, multitask efficiently and effectively, and meet tight deadlines
Preferred
Advanced educational degree is desirable – MBA, CPA, or JD
Benefits
Health insurance
Tuition reimbursement
Accident and life insurance
Retirement savings plans
Company
BMO
We’re a bank, but there’s more to it than that. When you join BMO, it opens a world of opportunities.
10001+ employees
H1B Sponsorship
BMO has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (2)
2023 (6)
2022 (4)
2021 (2)
2020 (2)
Funding
Current Stage
Public CompanyTotal Funding
$7.54B2025-10-23Post Ipo Debt· $142.91M
2025-02-26Post Ipo Debt· $871.76M
2024-07-09Post Ipo Debt· $750M
Leadership Team
David Casper
U.S. Chief Executive Officer
Azam Dawood
Head Of Sourcing
Recent News
MarketScreener
2026-01-06
2025-12-24
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