Sr. Compliance Officer, Asset Management - Investments and Trade Operations

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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 Director, Global Asset Management Compliance, 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.

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.

• Communication - Communicate effectively with internal partners and regulators. Clearly explain regulatory expectations and necessary changes to business unit procedures or controls to address adherence to Canadian securities regulations.
• Independently challenge - Follow up on questionable business conduct or regulatory non-compliance items or activities, assess impact and determine courses of action required, including escalations.
• Active participation - Staying abreast of industry wide regulatory and compliance developments, trends, and best practices, at both the federal and provincial/state level and suggesting methods for implementing changes as necessary.
• Relationship building – Partner with the business to achieve outcomes which protect our clients and our bank.

• 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.
• You have a Bachelor’s Degree 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 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.
• Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.

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…