Application Deadline: 05/31/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance The Equities Compliance Vice President will assist in effective implementation, maintenance and administration of the Capital Markets Compliance Program.  The role provides compliance advisory services, coordinates and performs ongoing risk assessments, and performs monitoring and surveillance activities to ensure that the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.  The Equities Compliance Vice President will be expected to have functional knowledge of a host of equity topics, such as, FINRA Rules 2210, 3130, 5310, as well as SEC Rules 605/6, 15c3-5. The role works closely with the relevant other internal business partners to ensure regulatory, corporate and fiduciary obligations are met.  This role will have a specific focus on compliance oversight over BMO’s Capital Markets and...

In this role, you’ll make an impact in the following ways:  Independently contribute to the Wealth Compliance program, ensuring alignment with applicable OCC, Consumer banking, SEC, and FINRA regulations, as well as internal risk management and governance frameworks. Strong partnership capabilities with business and functional leaders to address regulatory, audit, and examination findings. The candidate must be comfortable hosting discussions and leading presentations with a senior management audience. Partner with business leaders to assess compliance implications of new products, activities and services, including advising on the development of relevant controls and ongoing monitoring frameworks.  Demonstrated ability to design and implement monitoring, testing, and risk assessment programs across complex and evolving business models. Provide oversight of the compliance frameworks, including policies, procedures, monitoring, testing, issue management, and reporting....