Compliance Officer, Electronic Communications Surveillance, Commercial Banking & Wealth Managem

Position: Compliance Officer, Electronic Communications Surveillance, Commercial Banking & Wealth Managem[...]
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.

To learn more about CIBC, please visit CIBC.comWhat you'll be doing

Commercial Banking & Wealth Management Compliance (CBWMC) provides securities regulatory advice and oversight to CIBC’s Canadian securities registered businesses and individual registrants.

As a Compliance Officer, Electronic Communications (E-Comms) Surveillance, you’ll support and execute the CBWMC E-Comms Surveillance program. In this role, you’ll monitor, review, and escalate matters related to the conduct of Canadian securities registrants across Personal and Business Banking (PBB), Commercial Banking and Wealth Management (CBWM), and CIBC Asset Management Inc. (CAMI) to ensure compliance with regulatory requirements and internal policies.

You’ll play a key role in maintaining oversight of electronic communications, helping to safeguard ethical business conduct and regulatory adherence.

Collaboration is essential, as you’ll work closely with Senior Compliance Officers, internal compliance teams, and business partners to support each of CBWMC’s registered Chief Compliance Officers (CCOs). Your contributions will help foster a strong compliance culture across the organization.

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

Surveillance & Monitoring – Conduct surveillance by reviewing electronic communications to ensure adherence to regulatory requirements, company policies, practices, and acceptable standards of business ethics and conduct for applicable CBWMC businesses.

Investigations – Carry out initial investigations into matters related to employee conduct and potential non-compliance with internal or regulatory requirements. Determine when escalation to a Senior Compliance Officer for advanced investigation is required.

Communication – Clearly communicate surveillance and investigation results to internal partners, including identified risks and recommended remedial actions.

Reporting & Documentation – Prepare summaries, logs, and reports of surveillance reviews and investigations for compliance management. Highlight emerging risks and patterns, maintain accurate records, and assist with internal requests, audits, and regulatory inquiries.

Continuous Improvement – Support updates to policies and procedures, identify opportunities to enhance internal processes, participate in user testing for surveillance technology tools, and maintain awareness of relevant regulatory obligations to ensure ongoing alignment.

Who you areYou have 2+ years of experience. You bring experience in compliance, risk management, surveillance, or control functions within financial services.

You have relevant education. You hold a university degree or college diploma in Business, Finance, Law, or a related discipline, or possess equivalent work experience.

You have industry certifications or coursework. Completion of the Canadian Securities Course, Conduct and Practices Handbook, Options Supervisors Course, Branch Managers Course, Partners, Directors and Officers Course, or equivalent is considered an asset.

You bring additional language skills. Written and spoken knowledge of French is an asset but not required.

You understand the regulatory environment. You have knowledge of the regulatory landscape for CIBC’s securities businesses, including retail investment and mutual fund dealer and investment adviser activities, conduct risk, and compliance frameworks.

You are tech-savvy. You’re proficient with Excel, Word, PowerPoint, and can quickly learn new applications.

You communicate clearly. You have strong written and verbal communication skills, with the ability to summarize…