Compliance Officer – Registrations
BMO U.S.
full-time
Posted on:
Location Type: Office
Location: Chicago • Illinois • New York • United States
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Salary
💰 $63,300 - $117,200 per year
About the role
- 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
- 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
- Health insurance
- Tuition reimbursement
- Accident and life insurance
- Retirement savings plans
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
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