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Senior Compliance Specialist


This is a Full-time position in Ottawa, ON posted October 1, 2021.

Address:100 King Street WestJob Family Group:Business ManagementGAM Canada’s Business Unit Compliance Specialist executes and reviews First Line compliance responsibilities including mandate compliance, personal trade monitoring, compliance issue management, regulatory and committee reporting.

This role supports the implementation of final laws, rules and regulatory guidance within GAM Canada.KEY ACCOUNTABILITIES: Execute the Mandate Compliance function supporting GAM Canada, reporting to committees and executives on the status of compliance activities.

Ensure the completeness and timeliness of the Mandate Compliance function using Charles River as the Order Management System.

Work with other areas of the bank to plan and coordinate compliance-related activities (e.g.

Portfolio Managers, Traders, Product, Operations, Sales & Distribution, Legal, 2nd Line Compliance).

Participate in committees as required (e.g.

Product Oversight Committee, Trading Oversight Meeting, Derivatives Review Meeting).

Work with the business to review and assess new business initiatives in terms of compliance-related matters/implications.

Work with different business groups to understand the impact of regulatory change on their business; perform gap analysis to identify process changes required to comply with new requirements.

Maintain the compliance-related control framework for 1st Line, understand and execute controls.

Assess the impact of business issues and regulatory reviews on GAM Canada processes and controls.

Report and remediate Compliance Issues currently impacting, or with the potential to impact, GAM Canada.

Prepare Governance Reporting (e.g.

KRIs, M&T, Issue Monitoring & Reporting, mandate breaches).

Support regulatory examinations and liaise with regulators to support the review as required.Qualifications: Bachelor’s Degree required, industry certification or designations are pluses (CFA, MBA or advanced degree is favourable).

3 years or more experience in Asset Management performing a compliance-related function.

In-depth knowledge of National Instruments (e.g.

NI 81-102, NI 31-103, NI 81-107, etc).

Highly attentive to detail with strong problem-solving abilities.

Understanding of regulatory compliance and its role within a broader risk management framework.

Knowledge of Charles River and/or other order management systems (e.g.


Ability to multi-task, work independently, prioritize workload and meet deadlines.

Highly capable of collaborating and fostering relationships within the Business and with cross-functional working groups.

Strong verbal and written communication skills, and demonstrated ability to prepare concise, accurate reports for management.

Ability to present to senior management and management committees.

Strong computer skills using Microsoft Word, Excel, PowerPoint and other standard database tools.

Strong project management and organizational skills.We’re here to helpAt BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life.

It calls on us to create lasting, positive change for our customers, our communities and our people.

By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact.

We strive to help you make an impact from day one
– for yourself and our customers.

We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs.

From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset.To find out more visit us at is committed to an inclusive, equitable and accessible workplace.

By learning from each other’s differences, we gain strength through our people and our perspectives.

Accommodations are available on request for candidates taking part in all aspects of the selection process.

To request accommodation, please contact your recruiter.