Associate, Control Room

bmo

Toronto, Canada
Base: $61,600.00 - $113,900.00; bonus/equity: not ...
Information barrier monitoring
Policy and procedure development
Research publication review
The Compliance Officer, Control Room, is a fundamental contributor to the successful management of the Firm’s Insider and Proprietary information

Job Summary

  • The Compliance Officer, Control Room, is a fundamental contributor to the successful management of the Firm’s Insider and Proprietary information.
  • The successful candidate will be responsible for monitoring and enforcing information barriers and will assist with development of policies, procedures, reporting, and surveillance to ensure the effective practices to contain sensitive or material non-public information.
  • BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans.

Matching Summary

The Compliance Officer, Control Room, is a fundamental contributor to the successful management of the Firm’s Insider and Proprietary information.

Salary

Base: $61,600.00 - $113,900.00; Bonus/Equity: Not specified; Benefits: health insurance, tuition reimbursement, accident and life insurance, retirement savings plans

Skills & Requirements

Must-have

  • Information barrier monitoring
  • Policy and procedure development
  • Research publication review
  • Grey/restricted list maintenance
  • Employee communication monitoring
  • Critical thinking and judgment

Nice-to-have

  • Tact, discretion, and composure
  • Relationship development with business
  • Adaptability to non-standard hours
  • Proactive identification of enhancements

Key Requirements

  • Minimum 1-2 years experience
  • Bachelor's degree
  • FINRA Rule 2241, 2242 knowledge
  • IIROC rule 3400 knowledge
  • OSC 33-601 knowledge
  • Prior CIRO registration or FINRA certifications

Work Rights

Not specified

Tailored Resume

Cover Letter