Sales Practice & Conduct Risk Analyst

BMO U.S.

. Conduct research and fact-finding related to alleged sales practices misconduct, unethical behavior, customer complaints, employee concerns, and transactional monitoring alerts .

Posted 10/15/2026full-timeUnited StatesMid-LevelSenior💰 $55,000 - $120,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Risk Management, Compliance, and Investigations, with strong analytical skills to identify and mitigate risks. Proficient in preparing executive-level reports and delivering training programs to enhance organizational awareness and compliance.

Highest-signal resume keywords

Risk ManagementComplianceInvestigationsAnalytical SkillsProject Management

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

ResearchIssue AnalysisData AnalysisDocumentationRisk Mitigation StrategiesProgram DevelopmentRegulatory ComplianceAudit SupportExecutive ReportingTrend Analysis

Soft Skills

Communication SkillsCritical ThinkingOrganizational SkillsInfluencing SkillsProblem Solving

Industry Keywords

Employee RelationsBanking OperationsGovernanceEthicsTransactional Monitoring

About the role

Key responsibilities & impact

Conduct research and fact-finding related to alleged sales practices misconduct, unethical behavior, customer complaints, employee concerns, and transactional monitoring alerts
Analyze information from Employee Relations, Ethics, Compliance, Global Investigations, customer complaints, and internal monitoring programs
Document findings, determine appropriate disposition, and escalate matters according to established procedures
Support investigations through collection, analysis, and synthesis of relevant facts and documentation
Identify patterns, trends, or systemic issues indicating increased conduct or sales practices risk
Identify and minimize negative impacts to the business
Suggest risk mitigation strategies
Track information requests and corresponding approvals
Build awareness, knowledge, and skills; provide communication, practical tools, ongoing support, and presentations
Develop and maintain procedures, job aids, and program documentation
Prepare executive-level reports, presentations, and risk summaries
Support governance committees, working groups, and leadership forums through reporting and analysis
Track action items, issues, and program enhancements to completion
Analyze the impact and effectiveness of the program through periodic reviews
Recommend adjustments to the overall program, policy, or processes in accordance with Policy
Support the business/group through internal/external audits or regulatory examinations and assist in developing action plans
Support development and delivery of training and awareness programs
Exercise judgment to identify, diagnose, and solve problems within given rules
Work independently on complex tasks, including unique situations
Perform broader work or accountabilities as assigned

Requirements

What you’ll need

Bachelor's degree or equivalent experience
3-7+ years of experience in Risk Management, Compliance, Internal Audit, Investigations, Employee Relations, Banking Operations, Governance, or a related field
Strong analytical and critical-thinking skills
Experience conducting research, investigations, or issue analysis
Excellent written and verbal communication skills
Ability to influence and communicate effectively across all organizational levels
Strong organizational and project management capabilities

Benefits

Comp & perks

Performance-based incentives
Discretionary bonuses
Health insurance
Tuition reimbursement
Accident and life insurance
Retirement savings plans
In-depth training and coaching
Manager support
Network-building opportunities
Tools and resources to reach new milestones
Reasonable accommodations for individuals with disabilities