Associate, Control Room

Bmousbenefits

Toronto, Canada
$61,600.00 - $113,900.00; not specified; health in...
Information barriers monitoring
Insider information management
Proprietary information management
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

$61,600.00 - $113,900.00; Not specified; Health insurance, tuition reimbursement, accident and life insurance, retirement savings plans

Skills & Requirements

Must-have

  • information barriers monitoring
  • insider information management
  • proprietary information management
  • critical thinking and judgment
  • professionalism and relationship building

Nice-to-have

  • tact discretion and composure
  • investment banking experience
  • research experience
  • trading experience
  • regulatory environment understanding

Key Requirements

  • Bachelor’s degree
  • 1-2 years of Control Room experience
  • Trading or related experience
  • FINRA Rule 2241, 2242 knowledge
  • IIROC rule 3400 knowledge
  • OSC 33-601 knowledge
  • Prior CIRO registration
  • FINRA Series 7, 79, 86/87 or 24 certifications

Work Rights

Not specified

Tailored Resume

Cover Letter