Associate, Canada Capital Markets Supervision

BMO Capital Markets is a leading, full‑service financial services provider offering corporate and investment banking, treasury management, and research and advisory services to clients worldwide.

Mandate

Capital Markets Supervision (CMS) directs, leads, and operates the First Line of Defense’s Operating Group Compliance Program (OGCP). The OGCP establishes policies, processes, and controls to achieve risk‑based compliance with laws and regulations, supporting the Enterprise Compliance Program and the Global Compliance Manual.

Key Accountabilities

• Work directly with the Line of Business and CMS colleagues to review surveillance reports, validate activities, and document results for product lines such as Security‑Based Swap Dealer, Canadian OTC Derivatives Dealer, Swap Dealer, Rates, Currency, and Commodities.
• Conduct electronic and voice communications surveillance and trade surveillance.
• Dev...