Senior Manager, Compliance [Regions]

Corporate Function Compliance Officer

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 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.

The Corporate Function Compliance (CFC) Officer will assist in the management of CFC oversight function responsibilities related to CIBC's Regulatory Compliance Management (RCM) program. The RCM program establishes CIBC's firmwide approach to compliance risk oversight and assessment of compliance risk for CIBC US. The CFC Officer will support the US Corporate Function Compliance Director to ensure regulatory compliance oversight activities are operating effectively and efficiently across various infrastructure functions.

Working experience working within capital markets and / or wealth management operations preferred.

What You'll Be Doing

• Regulatory Inventory and Monitoring : Identify and maintain an inventory of laws, regulations, and guidance related to capital markets / wealth management operations regulatory requirements. As needed, the CFC Officer may also assign additional regulatory requirements impacting the combined US Operations. Monitor regulatory changes and work with business units and functional groups to ensure policies / procedures / controls are in place to comply with new regulatory changes.
• Risk Assessment : Perform risk assessment of applicable regulatory requirements in accordance with the established methodology and facilitate the monitoring, reporting and management of those risks. Provide input on regulatory compliance risks related to products / service / business changes as appropriate. Communicate risk assessment results to business partners.
• Collaboration : Build and maintain strong working relationships with business partners by providing support, advise and effective challenge when needed (e.g., RCM activities, projects, process enhancements, developing controls and procedures, etc.).
• Risk Mitigation and Oversight : Oversee and challenge the effectiveness of first line risk mitigation activities to ensure controls, policies, and procedures are designed to effectively manage and mitigate compliance risks. Ensure controls, policies, and procedures adhere to established guidelines and are updated as appropriate.
• Control Testing and Deficiency Management : Ensure awareness of regulatory compliance deficiencies and control testing results impacting RCM controls within CFC's oversight. Support first line in remediating RCM deficiencies.
• Reporting : Support reporting requirements related to the effectiveness of RCM activities (e.g., metrics).
• Training : Develop communication plans, job aids, guidelines, templates and other educational materials.

Compliance Requirements / Responsibilities :

Authorities / Decision Rights :

Our CIBC risk culture is based on employees striving to exceed the expectations of ourselves and our leadership's identification and mitigation of risks in their daily responsibilities, not just in quarterly or annual monitoring / assessments. We all are accountable for managing risk.

As an employee of CIBC the incumbent must conduct themselves (and foster an environment for others) in a manner consistent with our strong risk culture. This includes :

Who You Are

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.

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 .

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 tests (such as simulation, coding, MS Office). 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.

Job Location : IL-70 W Madison St, 10th Fl

Employment Type : Regular

Weekly Hours : 40