Vice President, Capital Markets, Regulatory and Financial Crisis Management
Job in
Toronto, Ontario, M5A, Canada
Listing for:
BMO
Full Time
position
Listed on 2026-03-02
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Corporate Finance, Capital Markets, Financial Compliance
-
Management
Risk Manager/Analyst
Job Description & How to Apply Below
Job Description
The Vice President will work directly with the Director, Regulatory Engagements (OCOO) and will be accountable for the following: overseeing BMO Capital Markets’ Financial Crisis Management requirements; preparing for and executing regulatory examinations and reviews of Capital Markets legal entities; coordinating and tracking regulatory remediations; ensuring continued compliance with the evolving global regulatory environment; and fostering a transparent, compliant, and proactive regulatory risk management culture across all areas of BMO Capital Markets.
Additionally, the Vice President will ensure that risks and issues are escalated appropriately through the applicable US governance frameworks.
Key Accountabilities
Financial Crisis Management = 50% Regulatory/Exam Focus = 40% Risk & Controls = 5% Strategic Capabilities = 5%
Financial Crisis Management
Work closely with the Financial Crisis Management Office to execute reviews and tests for the Capital Markets annual plan.Ensure framework is up-to-date and reviewed no less than annuallyCollaborate with the FCM personnel responsible for specific recovery or resolution plan deliverables to identify deliverables or work products that will be necessary to craft the Capital Markets components of plans submitted to specific regulators.Represent CM executives in discussions regarding sign-off duties and deadlines.Elicit opinions and expertise from Capital Markets stakeholders regarding the plan sections they own.Participate in various scenario and simulation work done to validate planning.Regulatory Engagements
Work directly with Director, Regulatory Engagements (OCOO) to prepare all internal stakeholders for incoming regulatory engagements involving global Capital Markets legal entitiesWork with internal stakeholders to aggregate and develop timely responses to regulatory requestsManage and/or facilitate the response to regulatory requests, as directedInteract directly, and in coordination with senior management, with key regulators as requiredCoordinate Capital Markets’ regulatory remediation function, including oversight of issue tracking, progress monitoring, and preparation of timely status reports for stakeholdersHelp to ensure best practices and relevant Capital Markets strategic elements are aligned and shared amongst key stakeholders to promote a strong, transparent, and effective regulatory environmentRisk Management
Escalate key issues when gaps in Capital Markets or legal entity regulatory compliance are identifiedProactively review and make recommendations regarding the management of key regulatory and compliance risks across Capital MarketsSupport Capital Markets legal entities in the preparation and evaluation of Inherent Risk AssessmentsProactively support the timely resolution of any Risk and Control Assessment issuesWork with colleagues across OCOO to identify opportunities across the Capital Markets network to improve operational processes, risk management practices, cost controls, and make recommendations to leadershipKnowledge:
Four-year college or university degree5-7 years of Capital Markets industry or related experienceFamiliarity with Financial Crisis Management or recovery/resolution planning and related regulationsTreasury experience or background a plusThorough knowledge of Capital Markets business concepts, strategies, and productsThorough knowledge of Capital Markets business practices and proceduresStrong understanding of broad regulatory and compliance conceptsStrong understanding of regulatory control conceptsStrong understanding of supervisory procedure conceptsFamiliarity with financial industry regulatory exam conceptsExperience dealing directly with Financial Regulators in some capacitySkills:
Strong interpersonal skills, especially collaboration and resolution managementHighly developed written and oral communication skillsHighly organized with a proven ability to manage multiple priorities in a fast-paced environmentAbility to create partnerships amongst a diverse set of stakeholders across a large organizationDemonstrated ability to work well as part of a teamExceptional analytical and conceptual…
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