Control Testing Specialist

1 day ago

Milwaukee, Wisconsin, United States BMO Financial Group Full time
Job Summary

We are seeking a highly skilled Compliance and Control Professional to join our team at BMO Financial Group. As a key member of our compliance team, you will be responsible for delivering on components of the 1LOD testing plans for Wealth LOBs in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework.

Key Responsibilities
  • Execute the 1LOD testing program for the Wealth LOBs and document results, outcomes as required.
  • Understand Enterprise Compliance Program and Operational Non-Financial Risk methodology.
  • Design and implement specific monitoring and testing procedures for each applicable area of review, which may include development of new monitoring and testing scripts.
  • Understand Wealth business processes across multiple entities across North America.
  • Understand controls that support regulatory compliance and manage other sources of ONFR.
  • Access and update the enterprise compliance book of record GRCE.
  • Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, 2LOD Risk.
  • Raise compliance and control related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risk. For issues identified, provide root cause analysis and recommendations to management.
  • Identify opportunities to improve the effectiveness of testing.
  • Act as a liaison and compliance support to various internal business partners across the Wealth Management businesses.
  • Prepare reports and related test results dashboard for various stakeholders including management.
Qualifications
  • 7+ years' experience in a compliance, control testing, or audit role ideally in a dealer and/or portfolio management environment.
  • Knowledge and understanding of IIROC rules and regulations applicable to dealer representatives and OSC rules applicable to portfolio managers and investment fund managers.
  • Excellent data analysis skills, organizational, analytical and communication skills.
  • Exhibit strong planning skills.
  • Successful completion of the Canadian Securities Course is preferred.
  • Working knowledge of information technology tools required including: MS Excel, MS Word and portfolio management or investment industry software.
  • Ability to demonstrate effective use of judgment, interpretation, knowledge and skill in the application of regulations and compliance requirements.
  • Ability to independently deliver on complex assignments with competing deadlines.
  • Excellent interpersonal skills and strong written and verbal business communication skills.
  • Familiarity with Wealth regulatory requirements (e.g. OSC, IIROC, SEC, OCC, etc.).
  • Familiarity with Investment Funds (key regulations include NI 81-102, 81-107, etc.).
  • Experience in the planning and execution of testing (e.g. Audit, OSFI E-13, etc.).
  • Understanding of risk and controls.
What We Offer

We offer a competitive salary range of $72,500.00 - $134,500.00 and a comprehensive benefits package, including health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. We are an equal opportunity employer and welcome applications from diverse candidates. If you are a motivated and detail-oriented individual with a passion for compliance and risk management, we encourage you to apply for this exciting opportunity.

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