What you’ll be doing
As the Manager, Regulatory Supervision, you will report to the Director, Sales Supervision and 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 $112,000.
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 are a caring and accountable leader. You're passionate about developing and coaching to bring out the best in people. You have led diverse, high performing teams.
You can demonstrate experience in the financial services and brokerage industry in a similar capacity.
You're motivated by collective success.You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
You’re a certified professional. You have current accreditation and good standing with the Canadian Securities Course; the Conduct and Practices Handbook; the Derivative Fundamentals and Option Licensing Course; the Wealth Management Essentials Course; the Investment Dealer Supervisors Course; the Branch Managers Course; the Options Supervisory Course. Or CIRO Derivatives Exam and CIRO Supervisors Course. You are Registered as an ID Supervisor with CIRO.
You understand that success is in the details. 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
#LI-TA
What CIBC Offers
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
Account Administration, Call Center, Client Service, Communication, Customer Experience (CX), Direct Investments, Inbound Calls, Investments, Work Collaboratively
