Control Testing Specialist, Wealth – Regulatory Compliance This role will deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework. + Execute the 1LOD testing program for the Wealth LOBs and document results, outcomes as required. + Design and implement specific monitoring and testing procedures for each applicable area of review, which may include independent development of new test scripts. + Demonstrate an understanding of testing methodology, business processes, control frameworks, that support underlying Regulatory Compliance requirements. + Ability to understand the methodology that supports the Enterprise Compliance Program and Operational Non-Financial Risk functions within Wealth Management. + Raise compliance and control related awareness with the Business and provide appropriate advice and guidance to mitigate exposures and risk. Identify root cause and communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, 2LOD Risk. + Identify and assess potential opportunities to improve the efficiency, effectiveness of Control testing. Qualifications: + 6+ years of related experience in a testing or audit role in areas involving Regulatory Compliance. + Recognized Compliance certificate or equivalent preferred. + Experience in independently executing Regulatory Compliance control testing, including development of test scripts, and identifying issues and exceptions. + Familiarity with Key Regulations applicable to Wealth Management and Investment Funds (e.g. SEC, OCC, etc.). + Excellent data analysis skills, organizational, analytical and communication skills. + application of regulations and compliance requirements. + Ability to independently deliver on complex assignments with competing deadlines. + Excellent interpersonal skills and strong written and verbal business communication skills. + Working knowledge of information technology tools required including: MS Excel, MS Word and portfolio management or investment industry software. + Ability to demonstrate effective use of judgment, interpretation, knowledge and skill with Regulatory Compliance control testing. **Salary:** $74,000.00 - $138,000.00 **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. 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.