Senior Compliance Officer, Asset Management: Investments and Trade Operations

As a member of the Commercial Banking and Wealth Management Compliance (CBWMC) team, the Senior Compliance Officer, Asset Management:
Investments and Trade Operations will provide independent oversight of compliance with laws and regulations applicable to the investment fund manager and portfolio management/registered investment advisory business activities of CIBC Asset Management Inc. (CAMI), including its CIBC Private Investment Counsel (CPIC) line of business. As a Senior Compliance Officer reporting to the Chief Compliance Officer for CAMI/CPIC, you will advise and report on the adherence to applicable regulatory requirements, corporate policies, practices and acceptable standards of business, ethics and conduct under relevant laws.

You will provide timely and proactive advice to help CAMI/CPIC and their leaders fulfill their regulatory compliance responsibilities and achieve their business goals including the preparation of annual compliance reviews and reporting. You will also assist in the design, establishment, and advise on the execution of regulatory compliance testing of CAMI/CPIC’s portfolio management/investment advisory business activities and identify key risk control gaps and deficiencies.
** You have demonstrated experience
** in a compliance, risk management, or legal in the investment or financial services industry.  
** It’s an asset
** if you have experience within a Private Wealth Management division of a bank.and knowledge of the Canadian regulatory environment as it relates to Wealth Management.
** It’s an asset
** if you have the CSC and have or are working towards a CFA, FRM accreditation/designation.
** You have proficiency
** with Microsoft Office Suite.
** You give meaning*
* ** to data.
** You enjoy investigating complex problems, and making sense of information. You're confident in your ability to communicate detailed information in an impactful and practical way.
** You know that details matter.
** You notice things that others don't. Your critical thinking skills help to inform your decision making.
** You put our clients first**. You engage with purpose to find the right solutions. You go the extra mile, because it's the right thing to do.
* 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 Moment Makers, 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.
* CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailb
* CIBC is committed to clarity in our hiring process. All roles posted are opportunities we’re actively recruiting for, unless stated otherwise.
* You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.
* We may ask you to complete an attribute-based assessment and other skills test (such as simulation, coding, French proficiency).At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values:
Trust, Teamwork and Accountability.
Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel.
Every day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.
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