Job Description
The Director of Equities Compliance will assist in the effective implementation, maintenance and administration of the Capital Markets Compliance Program. The role provides compliance advisory services, coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.
The role works closely with the relevant other internal business partners to ensure regulatory and corporate obligations are met. This role will have a specific focus on compliance oversight over BMO’s Capital Markets equity activities. The Director of Equities Compliance maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and weaknesses. This individual will be responsible for the successful implementation and maintenance of the Firm’s compliance framework.
The Director of Equities Complian...
The role works closely with the relevant other internal business partners to ensure regulatory and corporate obligations are met. This role will have a specific focus on compliance oversight over BMO’s Capital Markets equity activities. The Director of Equities Compliance maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and weaknesses. This individual will be responsible for the successful implementation and maintenance of the Firm’s compliance framework.
The Director of Equities Complian...