公司:BMO ' N$ Y7 R- O$ v7 u/ h
职位:Associate Compliance Officer I% M, `) l% d* ^ O9 l
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· 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.
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