Senior Consultant, Regulatory Compliance Manager; Capital Markets

Position: Senior Consultant, Regulatory Compliance Manager (Capital Markets )
Overview  We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered  team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

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What You’ll Be Doing  The Senior Consultant, Regulatory Compliance Management (RCM), is a key member of the Capital Markets Compliance, Regulatory Compliance Management team, serving as the Primary Oversight Function (OF) Lead and reporting to the Senior Director. You will support the RCM Accountable Officer and will be responsible for executing oversight activities while serving as a subject matter expert for specific regulatory requirements, ensuring the Bank’s regulatory compliance risk is managed within acceptable levels and in accordance with CIBC’s RCM Policy and supporting documentation.
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   Regulatory Monitoring and Communication – Monitor regulatory developments, analyze and assess the impact of changes, review complex documentation, and communicate relevant updates and actionable guidance to business units and RCM Portfolio Managers.
Risk Assessment, Compliance Advisory, and Deficiency Management – Conduct comprehensive risk assessments, evaluate new initiatives for regulatory risk, advise on compliance measures, escalate regulatory risks, and coordinate remediation and deficiency management with business units.
RCM Library Management – Responsible for ensuring the accuracy and currency of Capital Markets Compliance’s RCM library of regulatory group topics in Canada. This includes the analysis of relevant laws, regulations and rule books to identify obligations to CMC Canada’s area of oversight.
Advisory, Coordination, and Relationship Management – Provide expert guidance on RCM program requirements, collaborate with business management to establish effective controls and policies, participate in oversight meetings, and maintain strong relationships with key stakeholders.
Reporting, Documentation, and Effectiveness Assessment – Support the preparation of RCM-related reports and metrics, maintain and refresh standardized documentation, and complete effectiveness assessments to demonstrate oversight accountabilities and control adequacy.
Leadership and Process Optimization – Lead and guide business units in executing the RCM Program, identify and monitor regulatory compliance risks, implement process improvements, and share best practices to drive operational excellence.
Who you are   You can demonstrate 5–10 years of progressively responsible business experience and/ or experience in Capital Markets compliance.
You have a degree in Business, Finance or Legal domains. It’s an asset if you possess a JD or LLB designation.
You can demonstrate proven expertise in reviewing complex legal and regulatory documentation, identifying key requirements, monitoring regulatory changes, and collaborating to implement effective controls, policies, and procedures. It’s an asset if you have a deep understanding of risk assessment methodologies, control concepts, and regulatory environments applicable to financial institutions, including the CIBC Control Framework.
You can demonstrate strong verbal, written, and presentation abilities, complemented by a proven capacity to build and maintain effective partnerships with internal and external stakeholders. You can demonstrate advanced problem-solving skills, excellent judgment, and the ability to prioritize and manage multiple projects independently in a fast-paced environment.
You can demonstrate knowledge of and experience with key regulatory bodies, including Canadian Investment Regulatory Organization (CIRO), Canadian Securities Administrators (CSA) includes Ontario Securities…