Vice President, Senior Compliance Officer - Global Markets

Application Deadline: 06/26/2026 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance Compensation & Benefits: Hiring range: $150,000 - $160,000. Pay Type: Salaried The base salary range represents the anticipated low and high end of the BMO Financial Group's salary range for this position. Actual salaries will vary and will be based on various factors, such as skill, experience and qualification for the role. This position is also eligible for a bonus plan. The base salary and potential bonus is one component of BMO Financial Group's total compensation package for employees. Other rewards and benefits include health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: 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. Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes. **Please note that this is a hybrid work arrangement - 3 days in the office each week is the expectation** Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone to work closely with the Fixed Income, Currencies, and Commodities (“FICC”) LOBs and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO’s Fixed Income activities, and maintain current knowledge of regulatory requirements and developments, monitoring risk/trade surveillance, and identifying and corrects possible gaps and weaknesses. Our particular focus will be the Securitized Products Business within FICC. Ideal candidate will assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Work with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advise business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identify risks and implements appropriate actions to mitigate them. Develop and maintain compliance information for analysis and reporting. Achieve compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintain functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures manuals for requirements. Contribute to business/group results by providing oversight and making recommendations that significantly impact the Bank’s ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies. Additionally, the ideal candidate will: Provide advice and guidance to business lines on implementing solutions aligned to regulatory risk appetite and business needs. Consult on new products, services and automated systems to ensure compliance requirements are incorporated. Ensure effective compliance controls that support business objectives and identify enhancements to tools and processes. Monitor emerging risks, issues, and regulatory developments, providing insights to inform decision-making. Build and maintain strong relationships with internal stakeholders and regulators. Conduct and challenge risk assessments and perform or oversee monitoring and testing to ensure controls are effective and aligned with requirements, and ascertain/develop training based on identified gaps. Identify, assess, and oversee resolution of compliance issues, including root cause analysis, remediation plans, validation, and escalation of material concerns. Analyze and report compliance data and risk insights to management. Maintain expertise in applicable regulations and provide interpretive guidance to the business Advise first line of defense on compliance matters and reinforce the three lines of defense framework. Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations. Operate independently to assess risk, solve problems, and manage non-routine situations in a dynamic, high-pressure environment. Qualifications: Functional knowledge of multiple FICC market activities preferred including: Primary Dealer, GSEs, Trade reporting (TRACE), communications, supervision, best execution/order handling, and Market Access. Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. Series 7 and/or 63 a plus. Typically minimum of 6-8 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience. Recognized compliance certificate or equivalent preferred. Skilled knowledge of regulatory/ compliance requirements and the operations of a single client group. Experience at a regulatory body for one or more compliance area(s) is desirable, but not required. Strong communication, critical thinking, relationship management and project management skills. Deep knowledge and technical proficiency gained through extensive education and business experience. Strong verbal & written communication skills. Collaboration, team skills, and ability to constructively influence is highly valued. Deep analytical and problem-solving skills. Data-driven decision making is valued. 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. Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes. BMO is a leading bank driven by a single purpose: to Boldly Grow the Good in business and life. Everywhere we do business, we’re focused on building, investing and transforming how we work to drive performance and continue growing the good. Who we are We’re proud to be fueling growth and expanding possibilities for individuals, families and businesses. More than 12 million customers count on us for personal and commercial banking, wealth management and investment services. As the 8th largest bank in North America by assets, we provide personal and commercial banking, wealth management and investment services to more than 12 million customers. In Canada, the United States and across the globe, we’ll continue to build, invest and transform to drive performance that serves the good that grows.