Senior Vice President and Chief Compliance Officer, BMO Financial Corp.
Eric Moss is Senior Vice President and Chief Compliance Officer at BMO Financial Corp. As Chief Compliance Officer, Eric is responsible for the overall strategic leadership, oversight and performance of BMO’s U.S. compliance program.
Eric began his career at Ernst & Young (previously Arthur Young). After graduating from the University of Virginia Law School, he served as a federal judicial law clerk and practiced law at Williams and Connolly. For the sixteen years immediately prior to joining BMO, Eric held various regulatory policy roles at the U.S. Securities & Exchange Commission and the Financial Industry Regulatory Authority (“FINRA”). Most recently, Eric oversaw the Office of Emerging Regulatory Issues and Office of Economic Analysis at FINRA. Eric has spoken at dozens of regulatory and industry conferences, and chaired an international committee of securities regulators.