Compliance Officer – Registrations

BMO U.S.

Compliance Officer overseeing regulatory registrations and compliance monitoring for BMO Financial Group. Ensuring adherence to regulatory requirements and managing employee registration processes.

Posted 4/14/2026full-timeChicago • Illinois, New York • 🇺🇸 United StatesMid-LevelSenior💰 $63,300 - $117,200 per yearWebsite

About the role

Key responsibilities & impact

Supports the implementation, maintenance, and administration of the Compliance Program
Coordinates compliance monitoring, risk assessments, and control evaluations
Manages and oversees the complete employee registration lifecycle
Ensures timely and accurate completion of regulatory filings
Monitors registration and licensing requirements for covered employees
Conducts regular reviews of employee registrations
Oversees continuing education requirements
Serves as the primary point of contact for employees, managers, HR, and regulators regarding registration inquiries
Coordinates with internal partners to determine appropriate registration categories
Tracks regulatory changes related to registrations
Prepares and maintains documentation related to registration audits, exams, and regulatory reviews
Builds effective professional relationships with business line, other internal/external stakeholders and regulators
Conducts and/or effectively challenges risk assessments for business/group
Performs and/or effectively challenges monitoring and testing activities
Analyzes and reports compliance information to Compliance and business/group management

Requirements

What you’ll need

Typically between 3 - 5 years of experience in regulatory compliance
Direct experience administering employee registrations with FINRA, NFA, and/or SEC, including completing and managing Form U4/U5 filings and registration amendments
Strong understanding of U.S. securities and derivatives regulations, including FINRA rules and registration categories, NFA and CFTC registration requirements, and SEC regulatory framework for registered representatives
Experience with regulatory systems such as FINRA Gateway, NFA ORS, WebCRD, and CE systems
Experience conducting compliance monitoring, testing, risk assessments, or controls evaluation
Proficiency in Microsoft Office (Excel, Word, PowerPoint) and ability to learn specialized compliance systems
Strong attention to detail in evaluating filings, controls, and compliance reporting
Clear and concise communicator, able to explain regulatory concepts to business partners, management, and employees
Builds effective partnerships with HR, Legal, Risk, Operations, and frontline management
Highly organized with the ability to manage multiple deadlines, particularly for time-sensitive regulatory filings
Takes ownership of tasks from initiation through completion with minimal supervision
Operates effectively in high-pressure, high-scrutiny environments with changing priorities

Benefits

Comp & perks

Health insurance
Tuition reimbursement
Accident and life insurance
Retirement savings plans

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

regulatory complianceemployee registrationsForm U4Form U5risk assessmentscompliance monitoringcontrols evaluationregulatory filingscompliance reportingattention to detail

Soft Skills

clear communicationrelationship buildingorganizational skillsownershipability to manage deadlinesadaptabilityproblem-solvingteam collaborationanalytical skillstime management