Compliance Officer, Continuing Education

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Compliance Officer, Continuing Education

BMO Registrations and Continuing Education | LRC Wealth Management Location: Toronto, ON (Hybrid – minimum 4 days in office)

Role Mandate 

The Compliance Officer, Continuing Education is a senior role within the BMO Registrations and Continuing Education team, which supports the administration and oversight of the Continuing Education (CE) program for CIRO-IDD registered individuals across BMO. Reporting to the Manager, Registrations and Continuing Education, this role is accountable for ensuring CE requirements are accurately tracked, recorded, and reported in compliance with regulatory obligations, including CIRO Rule 2703. 

The role operates within established compliance frameworks and procedures, contributing to regulatory reporting, course accreditation processes, and stakeholder advisory support. The incumbent works independently on day-to-day CE operations while collaborating closely with Registrations, Compliance, and business partners. 

Key Accountabilities 

1. CE Program Administration 

• Maintain accurate tracking of CE completion for all registrants using internal systems.  

• Process and validate CE certificate submissions, including manual entries and bulk uploads. 

• Manage updates to registrant profiles, including onboarding, terminations, category changes, and leave of absence entries. 

• Maintain documentation and records in accordance with regulatory retention standards. 

2. Regulatory Compliance & Reporting 

• Apply knowledge of CIRO-IDD CE requirements (Compliance and Professional Development credits) to ensure regulatory adherence. 

• Support preparation of CE completion reporting for submission to CIRO Services in accordance with defined timelines. 

• Monitor completion levels and follow up with registrants to mitigate non-compliance risks. 

• Identify and escalate issues, exceptions, or delays that may impact regulatory compliance. 

3. Course Accreditation Support 

• Conduct reviews of internal training content to assess eligibility for CE accreditation. 

• Apply CIRO accreditation criteria to determine appropriate classification (Compliance vs. Professional Development). 

• Maintain accreditation documentation and ensure proper filing within SharePoint and internal repositories. 

• Partner with internal stakeholders to support the accreditation lifecycle, from submission through approval. 

4. Advisory & Stakeholder Support 

• Provide guidance to registrants and business partners on CE requirements, processes, and timelines. 

• Support inquiries via the CE inbox and internal communication channels. 

• Collaborate with Registrations, Compliance, and business units to ensure consistent application of CE policies. 

5. Audit & Controls 

• Support internal and external audit requests by providing required CE documentation and process information. 

• Ensure accuracy and completeness of CE data to support compliance testing and monitoring activities. 

• Identify opportunities to improve processes, controls, and reporting efficiency. 

Qualifications 

Experience & Knowledge 

• 2-3 years of relevant experience in Continuing Education, Registrations or equivalent experience.  

• Working knowledge of CIRO-IDD requirements, including Rule 2703. 

• Understanding of compliance processes, controls, and regulatory reporting obligations. 

Technical Skills 

• Proficiency with MS 365 tools (Excel, SharePoint, OneDrive). 

• Experience with data tracking and reporting tools (e.g., Power BI – asset). 

• Familiarity with CIRO Services, and/or NRD systems is preferred. 

Core Competencies 

• Strong attention to detail and accuracy. 

• Analytical thinking and problem-solving capability. 

• Effective written and verbal communication skills. 

• Ability to manage multiple priorities and meet deadlines. 

• Collaboration and stakeholder engagement skills. 

Additional Information 

• French language capability is considered an asset. 

• This role operates in a dynamic, deadline-driven regulatory environment requiring adaptability and strong organizational skills. 

Salary:

Pay Type:

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/ca/en.

BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.

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.