Senior Compliance Manager - Regulatory Engagement

BMO Nesbitt Burns

Toronto, Canada
Base: $94,600.00 - $176,000.00; bonus/equity: not ...
Ciro rules expertise
Securities regulation knowledge
Technology-driven change initiatives
Prepare, coordinate, and assist finalizing required regulatory submissions and applications for approval and/or exemptive relief

Job Summary

  • Prepare, coordinate, and assist finalizing required regulatory submissions and applications for approval and/or exemptive relief.
  • Provide compliance leadership for technology and process modernization, ensuring alignment with applicable rules and regulations, trading requirements, and internal policies.
  • Build and maintain strong senior-level stakeholder relationships across business, operations, technology, risk, legal & regulatory compliance, and other groups.

Matching Summary

Prepare, coordinate, and assist finalizing required regulatory submissions and applications for approval and/or exemptive relief.

Salary

Base: $94,600.00 - $176,000.00; Bonus/Equity: Not specified; Benefits: health insurance, tuition reimbursement, accident and life insurance, retirement savings plans

Skills & Requirements

Must-have

  • CIRO rules expertise
  • securities regulation knowledge
  • technology-driven change initiatives
  • regulatory submissions and applications
  • electronic trading platforms

Nice-to-have

  • strong analytical and critical-thinking abilities
  • ability to navigate ambiguity
  • experience with regulatory audits
  • project management certifications

Key Requirements

  • 8+ years compliance or regulatory experience
  • Completion of CSC, Investment Dealer Supervisors Course, or equivalent
  • Deep knowledge of CIRO rules, UMIR, securities laws
  • Experience preparing major regulatory change initiatives

Work Rights

Not specified

Tailored Resume

Cover Letter