BMO · 17 hours ago
Sr. Compliance Officer, LRC
New York, NY, USA
Full-time
Onsite
Mid, Senior Level
$81K/yr - $152K/yr
5+ years expBMO Capital Markets Corp. is seeking a Senior Compliance Officer to assist in the implementation and maintenance of their Capital Markets Compliance Program. The role involves providing compliance advisory services, performing risk assessments, and ensuring adherence to regulatory requirements in the equity sector.
BankingCrowdfundingFinanceFinancial Services
Responsibilities
Implementation and maintenance of the Firm’s control framework, full compliance with risk control, recordkeeping and reporting, internal supervision and compliance, counterparty protection and other additional requirements as stipulated by the SEC/FINRA
In coordination with the CCO, support the CMC equity program including a focus on building and executing the monitoring framework and compliance responsibilities
Assist with preparations for regulatory exams, inquiries, and audits
Help mobilize a project structure to accommodate for the necessary governance, people, processes and technology to accomplish the requirements of the SEC rules in a timely and effective fashion
Assist in the development of the Equity Compliance Program regarding FINRA broker-dealer requirements and corresponding oversight
Execute appropriate testing and analyze key performance indicators to ensure requirements of the LOB policies and programs are maintained at a level commensurate with regulatory expectations. Support root cause analysis in response to material control failures in line(s) of business
Analyze and explore multiple data types in order to identify anomalies and patterns of risk
Enhance existing surveillance tools and models and contribute to the creation and development of new models and detection tools
Anticipate potential consequences of unaddressed risk factors or shortfalls in compliance and recommend appropriate controls
Develop strong relationships with the first line of defense
Provide advisory services on compliance matters to LOB management and staff (first line of defense). Work proactively with business line contacts and management toward ensuring that effective and efficient compliance risk management solutions are identified and implemented
Provide guidance to traders, sales staff, operations and supervisory personnel on new regulations or interpretations. A focus will be placed on regulatory developments stemming from SEC and FINRA
Develop and maintain a high level of expertise in all regulations, directives and guidance which apply to the Equity group(s) supported
Provide input to LOB Compliance and LOB staff regarding emerging issues and interpretation of regulations
Participate in strategic projects and initiatives with other legal and compliance professionals relating to the equity program including assisting with new product committees and regulatory reform
Prepares summaries on compliance with assigned regulation(s), regulatory requirements, and/or compliance risks for senior management, and/or Committees/Boards or Executives as required
Assist is the management of the existing Capital Markets Compliance Training Program
Represent the LOB Compliance team and interact with examiners and auditors during internal, external and regulatory audits and examinations
Qualification
Required
Bachelor's degree required
Minimum of 5 years of experience with a financial services firm in a compliance role or equivalent experience at a regulator
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact
Series 7, 63, 24 a plus
Strong communication, critical thinking, relationship management, and project management skills
Must be a highly motivated candidate with the ability to work independently
The ability to multi-task, plan and prioritize a large volume of detail-oriented work in accordance with changing deadlines
Builds relationships with key stakeholders to ensure high levels of satisfaction and lay the foundations for continued growth and partnership
Leads project to completion, provides process and technical expertise, advice and consulting throughout plan execution
Leads process improvements based on post-mortem analysis
Leverages feedback to improve processes collaborating with leadership teams across departments
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
2026-02-03
2026-02-03
2026-02-03
Company data provided by crunchbase