Application Deadline: 08/14/2026 Address: 100 King Street West Job Family Group: Audit, Risk & Compliance BMO Nesbitt Burns, Private Client Division is a core part of PMO Private Wealth, and it operates as one of North America’s leading full-service investment advisory firms. We are seeking a Senior Compliance Officer – Regulatory & Advisory with a solid understanding of the regulatory landscape and knowledge of CIRO rules, to join our Compliance team. This role has dual reporting lines and reports to the Chief Compliance Officer, BMO Nesbitt Burns, Private Client Division, and BMO Private Wealth Canada, with a dual reporting line into the Senior Compliance Manager, Regulatory & Advisory. As a key member of the Compliance team, you will focus on regulatory developments, change management, and reporting. Excellent written and oral communication skills, strong knowledge of CIRO rules, and project management experience are required. Responsibilities And Duties This role requires you to: Have a strong understanding of Private Wealth, and of applicable CIRO rules and the broader securities regulatory landscape. Assist lead regulatory change initiatives and coordinate various stakeholders to ensure compliance with new regulatory developments, and to support regulatory initiatives and compliance program changes, and ensure alignment with CIRO and other rules, including leading change management processes Contribute to regulatory reporting of regulatory developments,



regulatory initiatives and compliance program changes Deploy appropriate methodologies and governance tools, to drive the timely delivery of analysis and agreed solution approach for any regulatory or compliance program initiative Support the CCO on assigned tasks as required Nice to Have’s Project management certifications or equivalent experience Prior experience as an Approved Person or working at a securities regulator Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures manuals for requirements. Contributes to business/group results by providing oversight and making recommendations that significantly impact the

📌 Senior Compliance Officer - Regulatory & Advisory (Toronto)
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