Senior Compliance Officer, CPIC Compliance

Were building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing whats right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our 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.com

What you'll be doing

As a Senior Compliance Officer within the Commercial Banking and Wealth Management Compliance (CBWMC) team, you'll support the independent oversight of compliance for CIBC Private Investment Counsel (CPIC), a division of CIBC Asset Management Inc. (GAM). You'll leverage your advanced understanding of portfolio manager regulatory obligations, investment products, and strategies to monitor, advise, and report on regulatory and business requirements, CIBC corporate policies, and standards of business ethics and conduct. Reporting to the Director, Global Asset Management Compliance, you'll help foster a strong culture of compliance by delivering an efficient and effective compliance program, which includes policies, procedures, active engagement with business partners, and awareness training.

You'll provide practical compliance advice and effective challenge on CPIC business activities and new initiatives, monitor and assess risk reports, identify trends and gaps, and support enhancements or remediation through robust compliance controls and procedures. Staying current on changes in relevant laws, regulations, and industry standards impacting CPIC, you'll implement necessary enhancements. You'll also build and maintain trusted-advisor relationships with stakeholders across Investment Counsellors, Legal, Business Controls, Risk, Technology, Infrastructure & Innovation, delivering consistent, timely, and accurate guidance on projects and initiatives. Collaboration with Compliance and EAML Examinations teams will be key as you help design independent testing processes for investment compliance and assist with periodic reporting to senior management.

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

• Effective Communication Clearly communicate regulatory expectations and changes to internal partners and regulators, ensuring business unit procedures and controls align with Canadian securities regulations.

• Independent Challenge Assess and follow up on questionable business conduct or regulatory non-compliance, determine necessary actions, and escalate issues as appropriate.

• Active Engagement Stay current on industry-wide regulatory and compliance developments, trends, and best practices at both federal and provincial/state levels, recommending and supporting implementation of changes.

• Relationship Building Partner with business units to achieve outcomes that protect our clients and the bank.

• Collaboration Foster strong collaborative relationships with CBWMC and CGRA members, Risk Associates, third line of defence partners, and asset management business leaders across CIBC.

• Continuous Learning Demonstrate curiosity and commitment to understanding best practices and industry trends.

Who you are

• You have relevant experience. You hold a university degree and bring 5-10 years of experience in financial services, asset management, and/or compliance, preferably in a similar role.

• You understand compliance and ris k. You have demonstrated experience in compliance, risk management, or legal within the investment or financial services industry. Experience within a Private Wealth Management division of a bank is an asset.

• You know the regulatory landscape. You possess strong knowledge of the Canadian regulatory environment as it relates to Wealth Management.

• You pursue professional development. Industry investment, compliance, or finance-related courses (e.g., CSC, CIM, CFA, FRM) are an asset.

• You work independently and solve problems. You have a proven history of working independently with strong problem-solving skills to achieve objectives.

• Values matter to you. You bring your real self to work, and you live our values - trust, teamwork, and accountability.

What CIBC Offers

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 share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

• Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

• We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

• CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

• CIBC is committed to clarity in our hiring process. All roles posted are opportunities were actively recruiting for, unless stated otherwise.

• You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

• We may ask you to complete an attribute-based assessment and other skills test (such as simulation, coding, French proficiency).

• We use artificial intelligence tools during the recruitment process. Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.

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