Base: $81,400.00 - $151,800.00; bonus/equity: may ...
Finra rules 2210 3130 5310 knowledge
Sec rules 605/6 15c3-5 expertise
Capital markets compliance oversight
The role provides compliance advisory services and coordinates ongoing risk assessments to ensure the Capital Markets Compliance Program remains current
Job Summary
The role provides compliance advisory services and coordinates ongoing risk assessments to ensure the Capital Markets Compliance Program remains current.
This position requires functional knowledge of specific FINRA and SEC rules including Rules 2210, 3130, 5310, 605/6, and 15c3-5.
BMO offers a comprehensive benefits package including health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans.
Matching Summary
The role provides compliance advisory services and coordinates ongoing risk assessments to ensure the Capital Markets Compliance Program remains current.
Salary
Base: $81,400.00 - $151,800.00; Bonus/Equity: May include commission structure and performance-based incentives; Benefits: Health insurance, tuition reimbursement, accident and life insurance, retirement savings plans
Skills & Requirements
Must-have
FINRA Rules 2210 3130 5310 knowledge
SEC Rules 605/6 15c3-5 expertise
Capital Markets compliance oversight
Risk assessment and monitoring activities
Regulatory exam preparation support
Nice-to-have
Strong stakeholder relationship management
Ability to work independently and prioritize
Experience with surveillance tool development
Proactive regulatory advisory skills
Key Requirements
Bachelor's degree required
Minimum 5 years financial services compliance experience
Series 7, 63, 24 licenses (plus)
Strong knowledge of securities laws and regulations