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BMO Financial Group Regulatory Reporting Manager (Hybrid) in New York, New York

Member of the broker/dealer regulatory reporting team who will responsible for the regulatory reporting and other financial/statutory reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 and 15c-3-1 rules governing the prime brokerage business. Generates information and insights that can support key business decisions to drive value, and improve efficiency/control.

  • Acts as a subject matter expert on relevant capital/reserve regulations and policies.

  • May network with industry contacts to gain competitive insights and best practices.

  • May own internal/external stakeholder relationships.

  • Supports/Leads broker dealer regulatory reporting for prime brokerage activities.

  • Assists in preparing weekly customer reserve calculation for BMO Capital Markets Corp. BMO's US institutional broker/dealer.

  • Assists in preparing daily and monthly capital reports.

  • Assists in preparing monthly/quarterly FINRA reporting, including balance sheet, P&L, capital report, etc.

  • Prepares monthly security reporting, CECIL reporting, and other ad hoc reporting, as necessary.

  • Determines the capital impact of initiatives/ strategic business decisions, and incorporate the impacts into future capital forecasts/plans.

  • Breaks down strategic problems, and analyses data and information to provide financial insights and recommendations.

  • Employs systems (e.g. customized exception reports, tracking reports etc.) to manage information.

  • Integrates information from multiple sources (e.g. financial and operational systems) to enable more efficient processes, enhanced analysis and/or streamlined reporting

  • Acts as a trusted regulatory advisor to the prime brokerage business.

  • Recommends and implements solutions based on analysis of issues and implications for the business

  • Exercises judgment to identify, diagnose, and solve problems within given rules.

  • Works independently and regularly handles non-routine situations.

  • Broader work or accountabilities may be assigned as needed.


  • Typically between 5 - 7 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.

  • Deep knowledge and technical proficiency gained through extensive education and business experience.

  • Strong Excel Skills - In-Depth

  • Verbal & written communication skills - In-depth.

  • Collaboration & team skills - In-depth.

  • Analytical and problem solving skills - In-depth.

  • Influence skills - In-depth.

  • Data driven decision making - In-depth.

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At BMO Harris Bank 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 Harris Bank 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.

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BMO Harris Bank 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. BMO Harris Bank N.A. is an equal opportunity/affirmative action employer. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law. 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 Harris Bank does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO Harris Bank, directly or indirectly, will be considered BMO Harris Bank property. BMO Harris Bank 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.