Senior Compliance Manager, Enterprise Programs

Leads the implementation, oversight, maintenance, and continuous enhancement of enterprise-wide compliance programs and regulatory governance frameworks. Provides second line oversight and effective challenge over key enterprise regulatory programs, including Regulation W, Sensitive Positions, Related & Affected Parties, Accessibility requirements, and other corporate compliance initiatives. Coordinates and performs regulatory risk assessments, monitoring, testing, issue management, and surveillance activities to ensure programs remain effective, sustainable, and aligned with the BMO Compliance Program and applicable regulatory requirements.

Partners closely with business groups, Corporate Areas, Risk Management, Legal, Human Resources, and other stakeholders to ensure regulatory, corporate, and fiduciary obligations are met. Advises senior leaders on emerging regulatory developments, regulatory change impacts, and enterprise compliance risks, and supports the implementation of policies, standards, controls, and governance processes designed to mitigate regulatory risk. Develops enterprise reporting and management information to support oversight of regulatory risks, program effectiveness, issue remediation, and governance activities. Contributes to enterprise compliance objectives through thought leadership, effective challenge, and recommendations that strengthen the Bank's ability to manage regulatory risk, maintain regulatory compliance, and meet supervisory expectations.

Enhanced Key Accountabilities

In addition to existing responsibilities, the following accountabilities should be incorporated:

• Provides second line oversight and governance of enterprise regulatory compliance programs, including Regulation W, Sensitive Positions, Related & Affected Parties, Accessibility requirements, and other regulatory frameworks impacting Corporate Areas and the enterprise.
• Establishes and maintains oversight frameworks, risk assessments, monitoring programs, governance routines, and reporting to assess the effectiveness of enterprise compliance programs.
• Provides effective challenge to first line program owners regarding regulatory interpretations, risk assessments, control design, issue remediation, and program execution.
• Advises senior leaders on regulatory obligations, emerging regulatory developments, examination trends, and industry best practices impacting enterprise compliance programs.
• Oversees compliance with regulations governing affiliate transactions, conflicts of interest, employee activities, accessibility obligations, and other enterprise-wide regulatory requirements.
• Reviews and challenges program policies, standards, procedures, and control frameworks to ensure ongoing alignment with regulatory expectations and enterprise risk appetite.
• Monitors key program metrics, risk indicators, testing results, and issue trends and prepares reporting for senior management committees and governance forums.
• Leads enterprise compliance assessments and thematic reviews to identify emerging risks, control weaknesses, and opportunities for program enhancement.
• Partners with regulatory engagement teams and supports examinations, audits, independent reviews, and regulatory inquiries related to enterprise compliance programs.
• Provides oversight of remediation activities arising from audits, examinations, monitoring, testing, and risk assessments, ensuring actions are timely, sustainable, and appropriately validated.
• Supports enterprise regulatory change management efforts by assessing regulatory impacts and driving implementation of required policy, process, and control enhancements.
• Serves as the enterprise subject matter expert for assigned regulatory programs and provides strategic guidance to business groups and control functions.
• Drives consistency in compliance program execution, governance, documentation, reporting, and control standards across the enterprise.
• Influences strategic decisions by providing regulatory and compliance perspectives on enterprise initiatives, organizational changes, new products, digital transformation efforts, and operational processes.

Qualifications (Updated)

• Typically 8-10+ years of compliance, regulatory risk, governance, legal, audit, or related experience within financial services.
• Deep knowledge of enterprise compliance program management, regulatory governance, and risk management frameworks.
• Demonstrated expertise overseeing complex regulatory programs such as Regulation W, Sensitive Positions, conflicts management, employee conduct, accessibility, governance, or related enterprise compliance requirements.
• Experience interacting with regulators, internal audit, senior executives, risk committees, and governance forums.
• Strong ability to provide independent oversight, effective challenge, and strategic regulatory advice to senior stakeholders.
• Advanced understanding of regulatory risk assessment, issue management, monitoring, testing, and regulatory change management practices.
• Exceptional communication, influence, and executive presentation capabilities.
• Experience operating in highly regulated environments with significant regulatory, audit, and reputational risk exposure.