Compliance Officer, Registrations

BMO Financial Group

Unknown, Unknown, US
Base: $63,300.00 - $117,200.00; bonus/equity: may ...
Not specified (assumed hybrid).
Form u4 and u5 filing experience
Finra nfa sec regulatory knowledge
Employee registration lifecycle management
BMO Financial Group is seeking a Compliance Officer focused on regulatory registrations for employees involved in licensed activities. The role emphasizes compliance monitoring, risk assessments, and maintaining partnerships across the business to ensure adherence to regulatory requirements

Job Summary

  • The role supports the implementation and administration of the Compliance Program with a specialized focus on regulatory registrations for employees engaging in activities requiring licensure with FINRA, NFA, and SEC.
  • This individual manages the complete employee registration lifecycle including onboarding, amendments, terminations, and associated disclosures while ensuring timely completion of regulatory filings.
  • BMO Financial Group offers a comprehensive total compensation package including performance-based incentives, discretionary bonuses, health insurance, tuition reimbursement, and retirement savings plans.

Matching Summary

Match Score: 85

BMO Financial Group is seeking a Compliance Officer focused on regulatory registrations for employees involved in licensed activities. The role emphasizes compliance monitoring, risk assessments, and maintaining partnerships across the business to ensure adherence to regulatory requirements.

Salary

Base: $63,300.00 - $117,200.00; Bonus/Equity: May include commission structure and performance-based incentives; Benefits: Health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans

Skills & Requirements

Must-have

  • Form U4 and U5 filing experience
  • FINRA NFA SEC regulatory knowledge
  • Employee registration lifecycle management
  • Regulatory systems proficiency FINRA Gateway
  • Risk assessment and control evaluation

Nice-to-have

  • Strong partnership building with HR and Legal
  • Ability to operate in high stress environments
  • Proactive identification of regulatory risks
  • Effective communication of complex concepts
  • Data driven decision making skills

Key Requirements

  • 3-5 years of experience in regulatory compliance
  • Direct experience administering employee registrations with FINRA NFA or SEC
  • Strong understanding of U.S. securities and derivatives regulations
  • Experience with regulatory systems such as FINRA Gateway and NFA ORS

Work Rights

Not specified

Tailored Resume

Cover Letter