Senior Branch Operations Administrator

Compliance Officer

Supports the branch and/or region in achieving business objectives by providing effective operational support and management of sales compliance and regulatory requirements.

Develops a rapport and instills confidence with the client to develop credibility as a member of the Branch/regional team.

Acts as a designee for the branch manager on compliance objectives within the branch.

Provides ongoing compliance education to assigned branch/portfolio.

Provides support and guidance to branch staff members on compliance and operational issues.

Coordinates and executes specific activities for the implementation of strategic initiatives; includes tracking metrics and milestones.

Builds effective relationships with internal/external stakeholders.

Ensures alignment between stakeholders.

Monitors and tracks performance and addresses any issues.

Designs and produces regular and ad-hoc reports, and dashboards.

Leads or participates in defining the communication plan designed to positively influence or change behavior; develops tailored messaging; and identifies appropriate distribution channels.

Identifies, reports and manages all compliance issues, irregularities according to guidelines.

Supports the Branch management with all operational and regulatory compliance responsibilities as per guidelines including reviews of IA and branch reports, and client account documentation.

Maintains branch files on outstanding client complaints hold mail accounts, insider clients, outside business activities, non-approved option trades, pledge accounts as per guidelines.

Performs various operational activities to meet business objectives, client needs, and maintain overall service levels.

Provides administrative/operational support including financial and transactional processing and reporting, account processing and documentation, compliance processing, and other related activities; ensures proper documentation and administration of decisions.

Meets high quality service standards to maximize relationship retention and growth.

Identifies and escalates all irregularities and discrepancies to management and compliance as per guidelines.

Follows through on risk and compliance processes and policies to ensure we safeguard our customers' assets, maintain their privacy, act in their best interests, and ensure an effectively run function.

Protects the Bank's assets and complies with all regulatory, legal and ethical requirements.

Thinks creatively and proposes new solutions.

Exercises judgment to identify, diagnose, and solve problems within given rules.

Works mostly independently.

Broader work or accountabilities may be assigned as needed.

Qualifications:

• Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Specialized knowledge from education and/or business experience.
• Verbal & written communication skills - In-depth.
• Collaboration & team skills - In-depth.
• Analytical and problem solving skills - In-depth.
• Influence skills - In-depth.

Salary: $42,500.00 - $78,900.00

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.

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.