Lead Canadian securities compliance at 100 King Street West, overseeing BPIC’s regulatory program, investment funds, and exempt market activities.
As Chief Compliance Officer for BMO Private Investment Counsel Inc. and Director, Compliance for BMO Private Wealth Canada, you will lead second-line oversight. The mandate covers portfolio management, investment fund management, and exempt market dealing. You will advise senior leaders, oversee regulatory risk, and support broader Private Wealth Canada priorities.
Key Responsibilities
Fulfill BPIC’s CCO responsibilities under applicable securities laws
Oversee investment fund governance, conflicts, disclosure, and reporting
Lead compliance risk identification, monitoring, testing, and escalation
Challenge senior management on regulatory requirements and business changes
Report compliance matters and program effectiveness to management and Board
Requirements
Bachelor’s degree and eight or more years’ relevant experience
Knowledge of Canadian securities regulation and NI 31-103
Understanding of NI 81-102, NI 81-106, and NI 81-107
Experience leading compliance programs and advising senior leaders
Robust people management, judgment, communication, and analytical skills
Bring securities regulation expertise, compliance leadership, and investment fund knowledge to BMO Private Investment Counsel and Private Wealth Canada.