Compliance Officer, IIROC Wealth Management Compliance - Bilingual

CIBC · Toronto · CA$69,800–CA$87,200 (stated in the posting)

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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.

To learn more about CIBC, please visit CIBC.com

What you’ll be doing
 
As part of the CIBC Commercial Banking and Wealth Management Compliance team, you’ll provide independent oversight of compliance with laws and regulations applicable to the CIBC Wood Gundy (“CWG”) lines of business and Canadian Investment Regulatory Organization (“CIRO”) registered representatives. Monitoring, advising and reporting on the adherence to regulatory and business requirements, CIBC corporate policies, practices and acceptable standards of business ethics and conduct.

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 2-3 days per week on-site, while other days will be remote.

The expected annualized base salary range for this role is $69,800 to $87,200.

The base salary is determined by a variety of factors, including the candidate’s skills, experience, and job-related knowledge, as well as geographic location and specific business needs. Our compensation philosophy supports ongoing growth and development, enabling progression within the salary range as team members advance in their roles.

In addition to base pay, compensation for this role includes participation in an annual discretionary incentive or bonus program.

We are committed to providing fair, equitable, and competitive compensation opportunities for all employees and we encourage open conversations about compensation throughout the recruitment process.

How you’ll succeed

• Monitoring Activities – Monitor ongoing activities including the timely review of daily/monthly trade/business activity to ensure adherence to regulatory requirements, company policies, practices and acceptable standards of business ethics and conduct of CWG. A significant part of your day will be spent conducting trade surveillance and reviewing various trade related reports.
• Compliance - Follow up on questionable business conduct or regulatory non-compliance items or activities, assess impact and determine courses of action required, including escalations.
• Communicate -  Effectively communicate with internal partners and regulators, including investigations and preparation of correspondence.

Who you are

• You are fully bilingual and have a strong proficiency in speaking and writing in French and English.
• You can demonstrate experience in full-service brokerage firms. Ideally, you have a strong understanding of the capital markets, trading, and the types of services and products offered by a full-service brokerage firm. The successful completion of the Canadian Securities Course is necessary for this role.  Likewise, the Options Supervisors Course is also required, however, if you have not yet completed this course, you must be willing to successfully pass the course within 12 months following your hire. It’s an asset if you have successfully completed the CSI Conduct and Practices Handbook, and Branch Managers Course (or equivalents).
• You understand that success is in the details. You notice things that others don't. Your critical thinking skills help to inform your decision making.
• You give meaning to data. You enjoy investigating complex problems, and making sense of information. You're confident in your ability to communicate detailed information in an impactful way.
• Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
• 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 we’re 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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