Contracts and Compliance Manager overseeing client and supplier agreements for Spiria, a Canadian custom software firm. Leading SOC 2, privacy, and government - contract compliance programs.
About the role
- Compliance Specialist managing supervision activities for branches at BMO addressing regulatory requirements and providing ongoing education.
Responsibilities
- Supports sales supervision activities and regulatory activities for designated branches
- Evaluates the strength and effectiveness of supervision and adoption of policies, processes at the branch level
- Provides ongoing supervision education to assigned branch/portfolio
- Conducts independent analysis and assessment to resolve strategic issues
- Provides approvals for new and updated account, trade transactions and trade amendments
- Conducts reviews of insiders, social media, and outgoing correspondence
- Acts as an escalation point for supervision issues/concerns within the branch
- Manages the registration requirements as required by regulators/legislation
- Builds effective relationships with internal/external stakeholders
Requirements
- Typically between 4 - 6 years of relevant experience
- Post-secondary degree in related field of study or equivalent combination of education and experience
- Must be licensed as a Supervisor with CIRO
- Derivatives (or Legacy Options) licensing preferred
- Knowledge of all supervision and industry regulations
- In-depth Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA) designation preferred
- Technical proficiency gained through education and/or business experience
- Verbal & written communication skills - In-depth
- Collaboration & team skills - In-depth
- Analytical and problem solving skills - In-depth
- Influence skills - In-depth
- Data driven decision making - In-depth
Benefits
- Health insurance
- Tuition reimbursement
- Accident and life insurance
- Retirement savings plans
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