What you'll be doing
Commercial Banking & Wealth Management Compliance (CBWMC) provides securities regulatory advice and oversight to CIBC’s Canadian securities registered businesses and individual registrants.
As a Compliance Officer, Electronic Communications (E-Comms) Surveillance, you’ll support and execute the CBWMC E-Comms Surveillance program. In this role, you’ll monitor, review, and escalate matters related to the conduct of Canadian securities registrants across Personal and Business Banking (PBB), Commercial Banking and Wealth Management (CBWM), and CIBC Asset Management Inc. (CAMI) to ensure compliance with regulatory requirements and internal policies. You’ll play a key role in maintaining oversight of electronic communications, helping to safeguard ethical business conduct and regulatory adherence.
Collaboration is essential, as you’ll work closely with Senior Compliance Officers, internal compliance teams, and business partners to support each of CBWMC’s registered Chief Compliance Officers (CCOs). Your contributions will help foster a strong compliance culture across the organization.
At 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
Surveillance & Monitoring – Conduct surveillance by reviewing electronic communications to ensure adherence to regulatory requirements, company policies, practices, and acceptable standards of business ethics and conduct for applicable CBWMC businesses.
Investigations – Carry out initial investigations into matters related to employee conduct and potential non-compliance with internal or regulatory requirements. Determine when escalation to a Senior Compliance Officer for advanced investigation is required.
Communication – Clearly communicate surveillance and investigation results to internal partners, including identified risks and recommended remedial actions.
Reporting & Documentation – Prepare summaries, logs, and reports of surveillance reviews and investigations for compliance management. Highlight emerging risks and patterns, maintain accurate records, and assist with internal requests, audits, and regulatory inquiries.
Continuous Improvement – Support updates to policies and procedures, identify opportunities to enhance internal processes, participate in user testing for surveillance technology tools, and maintain awareness of relevant regulatory obligations to ensure ongoing alignment.
Who you are
You have 2+ years of experience. You bring experience in compliance, risk management, surveillance, or control functions within financial services.
You have relevant education. You hold a university degree or college diploma in Business, Finance, Law, or a related discipline, or possess equivalent work experience.
You have industry certifications or coursework. Completion of the Canadian Securities Course, Conduct and Practices Handbook, Options Supervisors Course, Branch Managers Course, Partners, Directors and Officers Course, or equivalent is considered an asset.
You bring additional language skills. Written and spoken knowledge of French is an asset but not required.
You understand the regulatory environment. You have knowledge of the regulatory landscape for CIBC’s securities businesses, including retail investment and mutual fund dealer and investment adviser activities, conduct risk, and compliance frameworks.
You are tech-savvy. You’re proficient with Excel, Word, PowerPoint, and can quickly learn new applications.
You communicate clearly. You have strong written and verbal communication skills, with the ability to summarize findings concisely.
Values matter to you. You bring your real self to work, and you live our values - trust, teamwork, and accountability.
#LI-TA
What CIBC Offers
At 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 Location
Toronto-81 Bay, 31st Floor
Employment Type
Regular
Weekly Hours
37.5
Skills
Asset Management, Communication, Company Policies, Corporate Ethics, Employee Relations, Investments, Regulations, Risk Management, Teamwork
