Compliance Officer, Registrations

BMO

Chicago, IL, US
Base: $63,300.00 - $117,200.00; bonus/equity: may ...
Finra nfa sec regulatory registrations
Form u4 u5 filing administration
Employee registration lifecycle management
The role supports the implementation and maintenance of the Compliance Program with a specialized focus on regulatory registrations for employees engaging in activities requiring licensure with FINRA, NFA, and SEC

Job Summary

  • The role supports the implementation and maintenance 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, transfers, and associated disclosures while ensuring timely completion of regulatory filings.
  • BMO offers a comprehensive total compensation package that may include performance-based incentives, discretionary bonuses, health insurance, tuition reimbursement, and retirement savings plans.

Matching Summary

The role supports the implementation and maintenance of the Compliance Program with a specialized focus on regulatory registrations for employees engaging in activities requiring licensure with FINRA, NFA, and SEC.

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, retirement savings plans

Skills & Requirements

Must-have

  • FINRA NFA SEC regulatory registrations
  • Form U4 U5 filing administration
  • Employee registration lifecycle management
  • Regulatory compliance monitoring and testing
  • Risk assessment and control evaluation

Nice-to-have

  • Strong partnership building with business lines
  • 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 experience in regulatory compliance
  • Direct experience administering FINRA NFA SEC registrations
  • Proficiency with FINRA Gateway and NFA ORS systems
  • Strong understanding of US securities and derivatives regulations
  • Experience conducting compliance monitoring and risk assessments

Work Rights

Not specified

Tailored Resume

Cover Letter