Compliance Officer, Finance & Banking

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 Commercial Banking & Wealth Management Compliance provides independent oversight of compliance with legal, regulatory, and internal CIBC requirements across Commercial Banking & Wealth Management Canada's lines of business.

As a Compliance Officer, Asset Management Compliance, you'll support the team by monitoring compliance activities, reviewing personal trading matters, and helping ensure regulatory obligations are met across the business. You'll review trade requests, investigate potential breaches, support reporting, and assess adherence to policies, procedures, and regulatory requirements. You'll also contribute to control room activities, participate in disclosure reviews, and support training and policy updates.

In this role, you'll build strong working relationships across Global Asset Management, infrastructure partners, and Compliance team members while serving as a trusted advisor on personal trading and related compliance matters.

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. Review daily trading reports, identify potential issues, and investigate situations of non-compliance.
• Personal trading administration and reporting
  - Support onboarding activities and oversee initial and annual Personal Trading Policy attestations, disposition trade requests that are not auto-adjudicated, review monthly account statements to confirm compliance with pre-approval processes and restrictions, and prepare data and reporting on personal trading monitoring.
• Control room
  - Act as a control room function by assessing the permissibility of securities trading based on information received from affiliates.
• Continuous disclosure review
  - Serve as a reviewer for continuous statutory disclosure documents, including prospectuses, management reports of fund performance, and offering memoranda, to help ensure compliance with regulatory requirements.
• Advisory and partnership
  - Maintain strong working relationships with Global Asset Management, infrastructure partners, and team members across Compliance. Provide guidance to business and support teams on personal trading and control room activities.
• 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 relevant compliance or financial services experience.
• You have 3 to 5 years of financial services industry experience, with at least 1 to 3 years of experience in compliance, auditing, or investment management.
• You understand the importance of accuracy, timeliness, and sound judgment in a regulated environment.
• You have a strong foundation in learning and professional development.
• A university degree is preferred.
• You have completed, or are willing to complete within a specified timeframe, the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH), along with other industry courses as required.
• You're highly organized and detail-oriented.
• You can manage multiple priorities, work through frequent interruptions, and maintain a high level of accuracy in time-sensitive activities.
• You stay focused while reviewing reports, statements, and regulatory materials.
• You're a strong communicator. You have well-developed written and verbal communication…