Manager, Mutual Fund Governance

BMO U.S.

. Own and manage the mutual fund dealer governance framework, including policies, processes, procedures, systems, controls, training, and reporting .

Posted 10/5/2026full-timeToronto • CanadaMid-LevelSenior💰 CA$70,000 - CA$150,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in mutual fund dealer governance, regulatory compliance, and process management, with a strong ability to develop and implement policies, procedures, and training materials. Proficient in data-driven decision-making and stakeholder management, ensuring alignment with regulatory requirements and operational effectiveness.

Highest-signal resume keywords

Mutual Fund Dealer GovernanceRegulatory ComplianceProcess ManagementRisk ManagementBilingualism in English and French

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory Change ImplementationBusiness AnalysisProcess DesignData-Driven Decision-MakingOperational ControlsTraining DevelopmentAnalytical Problem-SolvingProject Delivery PracticesDocumentation StandardsPerformance Monitoring

Soft Skills

CollaborationRelationship ManagementInfluenceCommunicationCritical Thinking

Industry Keywords

Canadian Securities Regulatory EnvironmentCIRO Mutual Fund Dealer RulesNational InstrumentsRegulatory ReportingGovernance PracticesCorrective Action PlansRemediation ProgramsStakeholder ManagementOperational EffectivenessChange Management

About the role

Key responsibilities & impact

Own and manage the mutual fund dealer governance framework, including policies, processes, procedures, systems, controls, training, and reporting
Provide regulatory and operational advisory support to business partners and frontline teams
Design, develop, implement, test, measure, and manage mutual fund dealer processes
Lead regulatory change and implementation initiatives
Support audits, regulatory examinations, reviews, remediation initiatives, and issue management
Develop and maintain dealer programs
Produce data-driven metrics, regular and ad-hoc reports, and dashboards for oversight and decision-making
Act as a trusted advisor to assigned business and stakeholder groups
Recommend and implement solutions based on analysis of business issues and implications
Identify emerging issues and trends to inform decision-making
Conduct independent analysis and assessment to resolve strategic issues
Support strategic initiatives with internal and external stakeholders
Build relationships, collaborate with stakeholders, and ensure alignment
Monitor and track performance and address issues
Build change-management plans and lead or participate in readiness assessment, planning, stakeholder management, execution, evaluation, and sustainment activities
Develop change and communication plans, tailored messaging, and distribution channels
Design and provide input into operational program planning and implementation
Develop and document processes, procedures, process flows, playbooks, and end-user materials
Design training and support materials for frontline users
Assist with training and transition of processes and tools to process owners
Design, implement, manage, streamline, simplify, automate, and continuously improve business processes
Ensure processes meet risk, regulatory, compliance, operational effectiveness, and documentation standards
Integrate information from multiple sources to improve processes, analysis, and reporting
Participate in Core Process transformation to deliver productivity savings and enhanced customer and employee experience
Resolve process issues raised by stakeholders
Provide specialized consulting, analytical, and technical support
Exercise judgment to identify, diagnose, and solve problems, including non-routine situations
Perform other broader work or accountabilities as assigned

Requirements

What you’ll need

Typically 5–7 years of relevant experience in mutual fund dealer governance, regulatory compliance, operations, process management, risk management, or a related field
Post-secondary degree or an equivalent combination of education and experience
Strong knowledge of the Canadian securities regulatory environment, including CIRO Mutual Fund Dealer Rules, National Instruments, and applicable regulatory requirements
Experience interpreting regulatory requirements and translating them into business processes, policies, procedures, controls, training, and operational guidance
Experience leading or supporting regulatory change implementation, remediation initiatives, regulatory examinations, audits, and issue management activities
Experience with regulatory findings, corrective action plans, remediation programs, and regulatory reporting to senior management and governance committees
In-depth knowledge of business analysis, process design, and project delivery practices across the project lifecycle
In-depth knowledge of mutual fund dealer processes, supervision frameworks, operational controls, and governance practices
Ability to provide advisory support and influence business partners, frontline teams, and stakeholders on regulatory and operational matters
Experience developing training, guidance materials, job aids, and tools to support policy and procedure execution
In-depth understanding of risk management, regulatory compliance, and control frameworks
Deep knowledge and technical proficiency gained through education and business experience
In-depth verbal and written communication skills
In-depth collaboration and relationship management skills
In-depth analytical and problem-solving skills
In-depth influence and stakeholder management skills
In-depth data-driven decision-making and reporting skills
In-depth critical thinking and judgment
French and English fluency to support business operations outside Quebec
Bilingualism in English and French would be an asset

Benefits

Comp & perks

Performance-based incentives
Discretionary bonuses
Other perks and rewards
Health insurance
Tuition reimbursement
Accident insurance
Life insurance
Retirement savings plans
In-depth training and coaching
Manager support
Network-building opportunities
Accommodations available on request during the selection process