What You’ll Be Doing:The Investment Banking Compliance Officer you will serve as a strategic partner to the business and internal stakeholders, advising on regulatory risk, transaction execution, and control frameworks for Investment Banking . You'll bridge front-office strategy with regulatory and governance considerations, delivering actionable insights that support complex transactions, market activity, and business growth. Your role will involve collaborating with Sales & Trading, Investment Banking, Legal, Risk, Compliance, and Operations teams to ensure transactions align with global regulatory requirements. You'll lead risk assessments, enhance governance frameworks, and provide guidance on market structure and trading conduct, helping clients navigate regulatory challenges and capitalize on market opportunities.
How You’ll Succeed:
The Investment Banking Compliance Officer is primarily accountable for:
Advise corporate and financial institution clients on regulatory considerations impacting capital markets transactions, including debt capital and equity offerings, derivatives strategies, and structured products.
Reviewing Watch and Restricted List surveillance reports to identify any suspicious or prohibited transactions.
Maintaining the U.S. portion of CIBC’s Global Watch and Restricted Lists through frequent communication with U.S. Investment Banking, Corporate Credit and Capital Markets staff to ensure deal information is current and accurate.
Preparation of management information as it relates to the control room and other internal reporting.
Partner with Sales & Trading, Investment Banking, and Legal teams to evaluate transaction structures, ensuring alignment with SEC, SRO, and global regulatory requirements.
Conduct diligence on trading activity, supervisory frameworks, and control environments as part of transaction advisory and client engagements.
Develop and enhance governance frameworks, policies, and supervisory procedures to support capital markets activities and mitigate regulatory risk.
Review and preparation of training materials and conduct training both to compliance and to business as required.
Advise on remediation strategies and control enhancements in response to regulatory findings, due diligence outcomes, or transaction-related risks.
Support senior client discussions and internal committees by delivering insights on regulatory trends, enforcement developments, and market best practices.
Collaborate cross-functionally with Risk, Compliance, and Operations to align advisory recommendations with business strategy and execution capabilities.
Providing support with ongoing regulatory matters within U.S. Capital Markets.
Complete compliance risk assessments for the businesses.
Create and map controls to regulatory obligations used in risk Assessments
Who You Are:
Strong interpersonal and written/verbal communication skills
Bachelor’s degree; J.D. preferred
Strong technical skills in Microsoft Excel, Powerpoint, Sharepoint, Word;
Comprehensive understanding of US regulatory landscape, private side business activities relating to Investment Banking, Corporate Banking, and Debt Capital Markets;
Excellent communication skills, with the ability to translate complex regulatory concepts into business-focused advice.
Series 7, 63 preferred (24 license a plus);
Cross Functional Relationships:
This job requires interaction with:
Technology in order to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria;
Compliance Management to collaborate with potential regulatory issues and net new rule requirements;
Infrastructure support groups (e.g., Finance and Operations) to collaborate on control issues;
US Legal to seek interpretive guidance on technical regulatory requirements; and
US regulators and CIBC Internal Audit staff during regulatory exams and audits
Compliance Requirements/Responsibilities:
As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls.
As a Compliance Officer, this job is accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements;
As an employee of CIBC, the incumbent must complete all annual training requirements
Values matter to you. You bring your real self to work and you live our values – trust, teamwork, and accountability.
#LI-TA
At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $150,000 - 200,000 for the New York, NY market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee’s needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members.
Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process.
Job Location
NY-New York, 300 Madison Ave Fl 5
Employment Type
Regular
Weekly Hours
40
Skills
Capital Markets, Decision Making, Judgement, Process Improvements, Quality Assurance (QA), Regulatory Compliance, Risk Assessments, Strategic Objectives, Total Rewards
