Senior Compliance Officer/Quality Assurance

Senior Compliance Officer/Quality Assurance

The Enterprise Compliance Program Management (ECP) is a central compliance governance function that establishes, implements, and administers frameworks/processes that support the Compliance function.

The Senior Compliance Officer/Quality Assurance position will support the activities related to the implementation, maintenance, and administration of the Compliance Program. This role is primarily accountable for leading the ECP growing Quality Assurance program and enhancements. The responsibilities to include but not limited to performing quality reviews and evaluating adherence to ECP requirement, internal standards, and risk management frameworks. The position partners closely with Compliance and Risk stakeholders across various operating groups. Additional details included in job responsibilities are noted below:

• Participates in and support the design, implementation, management, execution of a specific Compliance Program.
• Provides input and support the development, execution, and maintenance of QA plans, procedures, and documentation.
• Participates in the design, development, execution, and maintenance of QA strategies and plans to ensure sustainability, efficiency, and alignment with strategic goals.
• Identifies opportunities to strengthen the QA capability by leveraging tools/technology and automation capabilities
• Reviews compliance-related directives/manuals/documentation and supports the development of business requirements.
• Works closely with data and technology teams to implement automation or tools to enhance the QA function.
• Recommends and implements solutions based on analysis of QA issues and implications for the business.
• Supports the independent analysis and assessment of the program to resolve strategic issues.
• Monitors, documents, and track defects, nonconformances, or quality risks including remediation timelines.
• Breaks down QA exceptions, and analyses data and information to provide insights and recommendations.
• Performs analysis of QA results to identify subsystem and/or system level performance issues.
• Ensures the accuracy and consistency of QA results through documentation processes (e.g., methodologies, guidance, regulatory requirements, etc.,).
• Analyze data to identify trends and areas for improvement.
• Analyze and report on compliance and/or related data to gain regulatory risk insights.
• Support the development and maintenance of guidelines, procedures, job aids, training, etc.
• Ability to interact and communicate with management/stakeholders including represent the Compliance Program team and interact with examiners/auditors during internal, external and regulatory audits and examinations; provide supporting documentation, as required.
• Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory compliance based on an understanding of business operations and stakeholder needs.
• Build effective professional relationships with internal/external stakeholders and trust with auditors/regulators.
• Ability to operate effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
• Exercise judgment to identify, diagnose, and solve problems within given rules.
• Applies expertise and thinks creatively to address unique or ambiguous situations and to find solutions to problems that can be complex and non-routine.
• Ability to work independently and regularly handle non-routine situations.
• Broader work or responsibilities in support of the Compliance Program may be assigned as needed.

Qualifications:

• Typically, minimum of 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Strong communication, critical thinking, relationship management and project management skills.
• Collaborate well with others. Ability to translate technical concepts into easy to understand terms.
• Ability to drive and execute projects/deliverables with minimal supervision and regularly handle non-routine situations.
• Able to analyze data and use metrics to highlight improvement opportunities.
• Strong knowledge of QA methodologies, standards, and tools.
• Ability to work independently and collaboratively in cross-functional teams
• Verbal & written communication skills - In-depth.
• Collaboration & team skills - In-depth.
• Analytical and problem-solving skills - In-depth.
• Influence skills - In-depth.
• Data driven decision making - In-depth.

Salary: $81,400.00 - $151,800.00

Pay Type: Salaried

The above represents BMO Financial Group's pay range and type. Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.

BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit

About Us

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.

To find out more visit us at

BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.

BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to View email address on click.appcast.io and let us know the nature of your request and your contact information.