Senior Compliance Officer - Fixed Income

BMO U.S.

full-time

Posted on: 8/14/2025

Origin: • 🇺🇸 United States • Illinois, New York

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💰 $135,000 - $145,000 per year

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

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