Senior Compliance Officer

Job Description

* **Surveillance & Monitoring** – Conduct surveillance reviewing electronic communications to identify potential conduct issues or instances of material risk within CBWMC businesses.* **Investigations** – Carry out advanced investigations for escalated matters relating to employee conduct and instances of potential non-compliance with internal or regulatory requirements, conduct matters, or policy violations. Participate in targeted reviews of higher-risk business areas or communication channels.* **Communication -** Communicate effectively with internal partners and regulators. Cleary explain results of surveillance and investigation activities, including risks identified and remedial recommendations.* **Regulatory Response** – Facilitate proactive reporting of internal investigations, potential employee misconduct, instances of non-compliance and internal disciplinary action in accordance with regulatory requirements and expectations; assist in the management and response to regulatory investigations and examinations including responding to requests for information, as necessary.* **Reporting & Documentation -** Prepare summaries, logs, and reports of surveillance reviews and advanced investigations for compliance management. Highlight emerging risks and patterns observed in communication reviews. Maintain accurate records of reviews, escalations, and outcomes. Assist in responding to internal requests, audits, and regulatory inquiries.* **Cross-functional Relationships** – Fostering strong internal relationships – including with business management, CIBC governance partners, Internal Audit, Legal and other CIBC Compliance and Risk Management groups, is essential.* **Continuous Improvement** – Assisting with updates to existing policies and procedures and/or the development of new policies as necessary to address areas of risk, regulatory developments and/or internal or regulatory deficiencies; identifying and addressing opportunities for improvement to enhance the efficiency and effectiveness of internal processes/methodologies. Participate in user testing and validation of system changes for technology tools used for surveillance activities. Maintain awareness of relevant regulatory obligations (e.g., CIRO/CSA, SEC) and ensure surveillance and investigation activities remain aligned.* **You have a University Degree/ College Diploma -** in Business, Finance, Law, or related discipline or equivalent work experience.* **You have 2–5 years of experience -** in compliance, risk management, surveillance, or control functions within financial services.* **You can demonstrate knowledge -** of the regulatory environment in which CIBC’s securities businesses operate, including retail investment and mutual fund dealer and investment adviser activities, conduct risk, and compliance frameworks.* **You are proficient** in computer skills including Excel, Word, PowerPoint and the ability to master new applications.* **You have the ability** to demonstrate CIBC’s core values (i.e., trust, teamwork and accountability) and commitment to ensuring their work, and the team’s work, is on purpose.* **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 and manage sensitive information discreetly.* **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.* **communication skills** - Clear written and verbal communication skills, with the ability to summarize findings concisely.* **Values matter to you** - You bring your real self to work, and you live our values - trust, teamwork, and accountability.* 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.* 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).At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability. Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel. Every day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.
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