What you'll be doing

As the Senior Manager, Regulatory Supervision, reporting to the Director, Regulatory Supervision, you will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You will also recommend strategies to assist employees in reducing follow up with respect to supervisory related queries.

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.

The expected annualized base salary range for this role is $92,490 to $110,000.

The base salary is determined by a variety of factors, including the candidate's skills, experience, and job-related knowledge, as well as geographic location and specific business needs. Our compensation philosophy supports ongoing growth and development, enabling progression within the salary range as team members advance in their roles.

In addition to base pay, compensation for this role includes participation in an annual discretionary incentive or bonus program.

We are committed to providing fair, equitable, and competitive compensation opportunities for all employees and we encourage open conversations about compensation throughout the recruitment process.

How you'll succeed

• Supervision - Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs). You will also be required to oversee trading and account supervision for the Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and more.
• Account Opening & Documentation - Reviewing and approval of new accounts and account updates.
• Governance and Controls - Effectively manage the overall governance and compliance framework for the branch. Providing support and/or responsible for items related to branch operational risk.
• Operational Excellence - Create a culture of operational excellence, ensure adherence to the management of irregularities, Code of Conduct, compliance policies, reputation and legal risk policies and training requirements, role model CIBC's vision and values, communicate, implement and educate employees on compliance policies & procedures.

Who you are

• You can demonstrate experience. In Tier 1 supervision and/or in financial services and brokerage industry in a similar capacity.
• You're a certified professional. You are registered as CIRO-ID Supervisor. You have current accreditation and good standing with the Canadian Securities Course (CSC); the Conduct and Practices Handbook (CPH); the Derivative Fundamentals and the Option Licensing Course (DFOL); Options Supervisors Course (OPSC). Completion of the Branch Managers Course (BMC) and/or Investment Dealer Supervisors Course (IDSC).
• You're passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
• You act like an owner. You thrive when you're empowered to take the lead, go above and beyond, and deliver results.
• You look beyond the moment. You make decisions and take actions that will make a difference today and tomorrow. You proactively seek new opportunities to define what's possible.
• Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
• You understand that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making.
• Values matter to you. You bring your real self to work and you live our values - trust, teamwork and accountability.

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, 21st Floor

Employment Type
Regular

Weekly Hours
37.5

Skills
Business Controlling, Client Service, Compliance Monitoring, Group Problem Solving, Project Management, Regulatory Requirements, Risk Management Assessment, Work Collaboratively