Compliance Officer, Continuing Education

Compliance Officer,Continuing Education

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

Role Mandate

TheCompliance Officer,Continuing Educationis a senior role within the BMO Registrations and Continuing Education team, whichsupports 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 roleoperateswithin established compliance frameworks and procedures, contributing to regulatory reporting, course accreditation processes, and stakeholder advisory support. Theincumbentworks independently on day-to-day CE operations while collaborating closely withRegistrations, Compliance, and business partners.

Key Accountabilities

1. CE Program Administration

• Maintainaccuratetracking of CE completion for all registrants using internal systems.

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

• Manage updates to registrant profiles, including onboarding, terminations, category changes, and leave ofabsenceentries.

• Maintain documentation and recordsin accordance withregulatory 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 Servicesin accordance withdefined timelines.

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

• Identifyand escalate issues, exceptions, or delays that mayimpactregulatory compliance.

3. Course Accreditation Support

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

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

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

• Partner with internal stakeholders to support theaccreditationlifecycle, 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 andprocessinformation.

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

• Identifyopportunities to improve processes, controls, and reporting efficiency.

Qualifications

Experience & Knowledge

• 2-3years of relevant experience inContinuing Education,Registrationsor equivalent experience. 

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

• Understanding ofcompliance processes, controls, and regulatory reporting obligations.

Technical Skills

• Proficiencywith MS 365 tools (Excel, SharePoint, OneDrive).

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

• Familiarity with CIROServices,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 roleoperatesin a dynamic, deadline-driven regulatory environment requiring adaptability and strong organizational skills.