Manager, Business Compliance
Job in
Toronto, Ontario, M5A, Canada
Listing for:
BMO
Full Time
position
Listed on 2026-03-09
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Compliance
-
Business
Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Final date to receive applications:
03/29/2026
Address:
100 King Street West
Job Family Group:
Business Management
General:
This role:
Executes First Line compliance monitoring, reporting and control execution.Manages/supports large/complex compliance programs/frameworks /projects/initiatives to ensure compliance risks are appropriately identified, risk assessed, mitigated and regulations adhered to.Supports the implementation of final laws, rules, and regulatory guidance within GAM Canada.Supports business change by assessing the impact to regulatory compliance and associated monitoring.Key Accountabilities:
Mandate Compliance:
Execute the Mandate Compliance function including automated pre and post trade alert/warning monitoring using the Charles River Order Management System.Coding mandate compliance rules associated with new and/or updated fund/account information.Execute manual monitoring of regulatory and/or fund/account requirements.Reviewing annual prospectus renewal information and assessing the impact of changes to the monitoring executed.Personal Trade Monitoring:
Manages and executes the personal trade monitoring program using the Personal Trading Application (PTA) including:
On boarding and offboarding GAM access persons to PTAReviewing pre-clearance trade submissions and breachesReviewing external broker statementsManaging the annual certification of accounts by GAM access personsProviding quarterly reporting to the Chief Compliance Officer (CCO) and the Ultimate Designated Person (UDP) on violations and trading volumesGifts & Entertainment (G&E) Monitoring:
Leveraging information in the BMO Enterprise tool, review logged G&E to confirm compliance with limits.Report instances where limits have been exceeded to the CCO and UDPLiquidity Management:
Leveraging methodology provided by GAM Product conduct an annual fund liquidity ranking.Leveraging scenarios provided by GAM Product execute annual stress tests and report results to GAM ProductFilings – Regulatory & Exchange
Provide regular TSX reporting required for BMO GAM ETFsPrepare Annual SEDAR 45-106 Filings for purchase transactions completed in the exempt market.Support 2nd Line Compliance in the completion of the annual OSC Risk Assessment QuestionnaireCertifications:
Work with the Institutional Client Service Team, Investment Team, and Traders to complete regular institutional client compliance certifications.Facilitate the annual related registrant identification and filing as required.Business Partner Engagement:
Supports business leaders in the effective implementation, maintenance, and administration of 1st Line compliance program.Work with other areas of the bank to plan and coordinate compliance-related activities including Portfolio Managers, Traders, Product, Operations, Sales & Distribution, Legal, and 2nd Line Compliance.Work with the business to review and assess new business initiatives in terms of compliance-related matters/implications.Support the business in the terms of new/expanded use of derivatives, assessing the impact on regulatory compliance and associated monitoring.Committee Participation:
Participate in committees (e.g., Product Oversight Committee) to understand business/product changes/development/launches and provide feedback and guidance on the associated impact on the regulatory and fund/account monitoring executed by the Mandate Compliance team.Work with different business groups to understand the impact of regulatory change on their business; perform gap analysis to identify process changes required to comply with new requirements.Issue Management:
Assess the impact of business issues and regulatory reviews on Mandate Compliance processes and controls.Report and remediate Compliance Issues currently impacting, or with the potential to impact, Mandate Compliance monitoring or control execution.Reporting:
Prepare conflicts of interest related reporting (e.g., principal trading, interfund, related issuer, etc.) for 2nd Line Compliance review and presentation the Investment Review Committee (IRC)Regulatory Knowledge:
OSC Investment Fund Manager (IFM), portfolio management and trading regulations.In-depth knowledge…
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