公司:BMO
* u' s6 V+ _$ x5 B, m职位:Associate Compliance Officer; P- {/ J; J" B( s
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1 h4 t# B% X5 D" [" l5 n; z· Develop, maintain and implement changes to the firm’s compliance and registration policies & procedures to ensure that the firm’s compliance program keeps pace with applicable regulatory developments. · Conduct monitoring of registration activities in accordance with the Enterprise Compliance Framework. · Identify opportunities to implement policies and procedures for greater efficiencies, cost minimization and improve service levels for business partners · Manage risk and minimize losses through monitoring and controlling firm and individual licensing requirements. · Conduct internal investigations regarding civil, criminal, financial and regulatory disclosure information is reviewed respecting a registrant’s status and background. · Provide advice and guidance to Branches, Lines of Business, HR, PCG Learning and Corporate Secretaries Offices on related registration matters. · Partner with Finance, Legal, Branches, and other departments to ensure a variety of regulatory filings are made within prescribed timelines. · Ensure operational integrity and privacy measures are maintained and safeguarded with the LOB and compliance department. # E! p) o- l, x1 K- s
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