Vice President, Regulatory Transformation – Capital Markets

151 W 42nd Street New York New York,10036

BMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets

We are seeking a **Vice President** with a strong understanding of the regulatory landscape, deep knowledge of Capital Markets (CM), and preferably a law degree to join our **Regulatory Transformation (RT)** team.

Regulatory Transformation (RT) is part of the **Capital Markets Office of the Chief Operating Officer (OCOO)** and as a key business partner for regulatory matter plays a critical role in driving regulatory change that supports business growth, client needs, strategic priorities, and long-term value creation. The team sponsors and manages a central portfolio view of emerging regulatory developments, leads proactive preparation for upcoming changes, and leads business impact analysis through to the end-state target control environment. The team also supports the launch of new products or trading activity by advising on current live and new upcoming regulatory considerations.

As a Vice President on the RT team, you will drive regulatory advocacy and interpret new regulatory requirements, while implementing new regulatory changes into our operating model and advising our business with respect to the impact of regulation.

**Responsibilities and Duties**

Reporting into Director, CM RT, this role requires you to

• Build strong senior stakeholder relationships that will be required when performing complex analysis across multiple businesses
• Lead interpretation working groups to drive consensus of new regulatory requirements, including the build out of BMO CM’s agentic Artificial Intelligence (AI) capabilities.
• Lead business impact and gap analysis between current operating models and new regulatory requirements
• Identifies and facilitates detailed client and Front Office (FO) processes’ impacts: client flows and outreach requirements, FO communications, FO product, trade surveillance and business conduct
• Collaborate with various stakeholders to drive regulatory advocacy and thought leadership efforts on a cross-jurisdictional basis
• Drive the creation of Capital Markets Regulatory Target Operating Model including core business and technology capabilities, roles and responsibilities, operating capacities and how the operating groups strategically organize to achieve compliance in line with business priorities
• Provides leadership, training, coaching, and guidance to team members and impacted stakeholders
• Develops and deliver impactful communications and presentations to cross-functional team members and stakeholders (business and IT), regulators, and senior management committees
• Contribute to identifying in-scope emerging regulatory changes applicable to BMO CM.

**Qualifications and Skills**

The ideal candidate will be a self-starter, industrious, pragmatic-yet strategic, and able to achieve results with indirect authority. The candidate should be comfortable working with team members & stakeholders located across the globe. The candidate will be a strong team player capable of building strong relationships. The candidate should have superior communication skills, both verbal and written, and excel in their ability to explain complex business and/or technical concepts to stakeholders across a wide spectrum of business areas.

Required qualifications, capabilities and skills

• A university degree (preferably in law, though will consider engineering, finance, business management, or similar)
• 4+ years of experience in legal, management consulting or related field in financial services with active involvement in new regulation assessments and implementations
• Strong understanding of global securities and derivatives regulatory frameworks including, for example, CFTC, SEC, CSA, and EU. An understanding and interest on the impact and intersection of generative AI on these frameworks will also be an asset.
• Understanding of the financial product lifecycle: origination, primary market, secondary market and the associated business activities such as settlement, risk management, operations & accounting
• Strong understanding of electronic trading platforms and ecosystem: algorithmic trading, market making, high-frequency trading.
• Strong analytical and critical thinking skills to assess information, evaluate risks, and make informed judgments. Can approach problems from multiple perspectives and demonstrate sound reasoning.
• Excellent oral and written communication skills; including the ability to understand and effectively communicate relevant industry regulations, impacts and implementation solutions to the business
• Willingness to ask questions, challenge the process and seek out answers
• Ability to work independently, multi-task, take ownership and drive strategy
• A high level of professionalism, ethics and integrity

Preferred qualifications, capabilities and skills

• Project management certifications and / or equivalent experience
• CSC, FINRA Series 7 or similar qualifications

The base salary range for this role based in New York, with a hybrid model (currently expected to be in a minimum of 4-days) is $125,000 to 175,000 USD.

**Salary:**

**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: https://jobs.bmo.com/global/en/Total-Rewards

**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 https://jobs.bmo.com/us/en

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 BMOCareers.Support@bmo.com 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.