Senior Compliance Officer, Global Asset Management

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As a member of the Commercial Banking and Wealth Management Compliance (CBWMC) team, the Senior Compliance Officer, Global Asset Management will provide independent oversight of compliance with laws and regulations applicable to the exempt market dealer, 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. Please note, a preferred candidate has been identified for this opportunity, however all interested are encouraged to apply. 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.

• Compliance monitoring and oversight
  - Monitor adherence to applicable laws, regulations, internal policies, and standards of business conduct for the assigned line of business and investigate situations of non-compliance.
• Trusted advisor and partner
  - Maintain strong working relationships with Global Asset Management, infrastructure partners, and team members across Compliance and provide value-add compliance advice.
• Partner with the business to achieve outcomes which protect our clients and our bank.
• 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.
• Process improvement and training support
  - Maintain relevant compliance procedures, contribute to policy updates, and participate in the development and delivery of compliance training.
• Support special projects and assignments as needed.

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 Private Wealth Management firm or Asset Manager, including supporting Exempt Market Dealer (EMD) and alternative investments activities. You have a Bachelor’s Degree or equivalent experience and knowledge of the Canadian securities regulatory environment as it relates to portfolio managers, exempt market dealers and/or investment fund managers.

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 regulatory and…