Capital Markets, Senior Compliance Officer
$81,400–$151,800 year
On-site · New York City, New York, United States
Job Summary
Senior Capital Markets Compliance Officer responsible for implementing and maintaining the Capital Markets Compliance Program, providing regulatory advisory services, conducting risk assessments, monitoring and surveillance, ensuring regulatory and fiduciary obligations are met, and collaborating with business partners. Focus includes oversight of BMO’s Capital Markets and equity activities; development and maintenance of the Equity Compliance Program regarding FINRA broker-dealer requirements; executing testing, analytics, and reporting; guiding traders and supervisory staff on new regulations; and staying current with SEC, FINRA, and exchange rules. Requires a Bachelor’s degree and 5+ years of experience in financial services compliance; Series 7/63/24 a plus. Salary range: $81,400.00 - $151,800.00; pay type Salaried. Benefits include health insurance, tuition reimbursement, retirement plans, and total rewards details.
Required Qualifications
- Bachelor’s degree required
- Minimum of 5 years of experience in a financial services firm in a compliance role
- Strong knowledge of SEC/FINRA rules and equity market activities
- Series 7, 63, 24 a plus
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