CIBC Commercial Banking & Wealth Management Compliance provides independent oversight of compliance with legal, regulatory, and internal CIBC requirements across Commercial Banking & Wealth Management Canada's lines of business. As a Compliance Officer, Asset Management Compliance, you'll support the team by monitoring compliance activities, reviewing personal trading matters, and helping ensure regulatory obligations are met across the business. You'll review trade requests, investigate potential breaches, support reporting, and assess adherence to policies, procedures, and regulatory requirements. You'll also contribute to control room activities, participate in disclosure reviews, and support training and policy updates. In this role, you'll build strong working relationships across Global Asset Management, infrastructure partners, and Compliance team members while serving as a trusted advisor on personal trading and related compliance matters.
Work ArrangementAt CIBC we enable the work environment most optimal for you to thrive in your role. You'll have the flexibility to manage your work activities within a hybrid work arrangement where you'll spend 1-3 days per week on-site, while other days will be remote.
How you'll succeed- Compliance monitoring and oversight - Monitor adherence to applicable laws, regulations, internal policies, and standards of business conduct for the assigned line of business. Review daily trading reports, identify potential issues, and investigate situations of non-compliance.
- Personal trading administration and reporting - Support onboarding activities and oversee initial and annual Personal Trading Policy attestations, disposition trade requests that are not auto-adjudicated, review monthly account statements to confirm compliance with pre-approval processes and restrictions, and prepare data and reporting on personal trading monitoring.
- Control room - Act as a control room function by assessing the permissibility of securities trading based on information received from affiliates.
- Continuous disclosure review - Serve as a reviewer for continuous statutory disclosure documents, including prospectuses, management reports of fund performance, and offering memoranda, to help ensure compliance with regulatory requirements.
- Advisory and partnership - Maintain strong working relationships with Global Asset Management, infrastructure partners, and team members across Compliance. Provide guidance to business and support teams on personal trading and control room activities.
- Process improvement and training support - Maintain relevant compliance procedures, contribute to policy updates, and participate in the development and delivery of compliance training. Support special projects and assignments as needed.
Who you are- You have relevant compliance or financial services experience. You have 3 to 5 years of financial services industry experience, with at least 1 to 3 years of experience in compliance, auditing, or investment management. You understand the importance of accuracy, timeliness, and sound judgment in a regulated environment.
- You have a strong foundation in learning and professional development. A university degree is preferred. You have completed, or are willing to complete within a specified timeframe, the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH), along with other industry courses as required.
- You're highly organized and detail-oriented. You can manage multiple priorities, work through frequent interruptions, and maintain a high level of accuracy in time-sensitive activities. You stay focused while reviewing reports, statements, and regulatory materials.
- You're a strong communicator. You have well-developed written and verbal communication skills and can prepare clear reports and correspondence. You build effective working relationships with employees, managers, and business partners using tact, discretion, and professionalism.
- You're proactive and dependable. You take initiative, work well independently, and know when to escalate issues. You use sound judgment to assess routine and non-routine compliance matters and help ensure important activities are completed on time.
- You're comfortable with core business tools. You have working knowledge of Microsoft Word, Outlook, Excel, and PowerPoint. French language skills are an asset.
- Values matter to you. You bring your real self to work, and you live our values - trust, teamwork, and accountability.
What CIBC OffersAt CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.
- We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.
- Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.
- We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.
*Subject to plan and program terms and conditions
Job LocationToronto-81 Bay, 31st Floor
Employment TypeRegular
Weekly Hours37.5
SkillsAsset Management, Business Requirements, Corporate Ethics, Management Reporting, Regulations, Relationship Building, Strategic Advice
