Senior Export Compliance Specialist
Intel Corporation
Senior Compliance Officer - Fixed Income
BMO U.S.
full-time
Posted on:
Location: Illinois, New York • 🇺🇸 United States
Visit company websiteSalary
💰 $135,000 - $145,000 per year
Job Level
Senior
About the role
- Hybrid work arrangement with 3 days in the office each week\n
- Focus on FINRA and SEC broker-dealer requirements for BMO’s Fixed Income Compliance program\n
- Oversees risk assessment, monitoring, testing and surveillance for FICC securitized products\n
- Collaborates with FICC LOBs and internal partners to ensure regulatory, corporate and fiduciary obligations are met\n
- Develops and maintains compliance information for analysis and reporting\n
- Provides advice on regulatory developments and implementation of policies and programs\n
- Builds relationships with regulators and internal/external stakeholders
Requirements
- Functional knowledge of multiple FICC market activities (including Primary Dealer, GSEs, Trade reporting (TRACE), communications, supervision, best execution/order handling, Market Access)\n
- Strong knowledge of applicable securities laws, rules and regulations with ability to assess firm impact\n
- Series 7, 63, 24 a plus\n
- Typically minimum of 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience\n
- Recognized compliance certificate or equivalent preferred\n
- Skilled knowledge of regulatory/compliance requirements and the operations of a single client group\n
- Experience at a regulatory body for one or more compliance area(s) is desirable, but not required\n
- Strong communication, critical thinking, relationship management and project management skills\n
- Deep knowledge and technical proficiency gained through extensive education and business experience\n
- Strong verbal & written communication skills\n
- Collaboration, team skills, and ability to constructively influence is highly valued\n
- Deep analytical and problem-solving skills\n
- Data-driven decision making is valued
