Compliance Officer Full Time

4 weeks ago

Toronto ON, Canada Canadian Imperial Bank of Commerce Full time

Surveillance and Governance Compliance Officer page is loaded Surveillance and Governance Compliance Officer
Apply locations Toronto, ON time type Full time posted on Posted Yesterday job requisition id 2410339 We’re building a relationship-oriented bank for the modern world. As a Surveillance and Governance Compliance Officer, you will be reporting to the Director, Centralized Applications, Automation, and Governance and support (i) monitoring and testing activities for Capital Markets Compliance (CMC), (ii) CMC’s regulatory compliance management process including risk assessing applicable regulatory requirements against existing business activity, and (iii) input on CMC’s strategic initiatives related to regulatory requirements and the effective operation of the program. You will play a critical role in contributing to maintaining the integrity of our business operations by overseeing and enhancing our applications and tools used in our oversight and monitoring activities on a global scale.
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.
Regulatory Compliance Management (RCM) and Risk Assessment - Maintain a thorough RCM library of regulatory requirements applicable to the Capital Markets business as per CIBC’s Regulatory Compliance Management Policy and related procedures. Conduct risk assessments of applicable regulatory requirements, identify the business units subject to these regulatory requirements and work with those business units and other members of the Compliance team to identify and design, document and map key RCM controls, policies.
Managing CMC Technology Applications - Assist with the administration of technology solutions utilized by CMC to meet its regulatory obligations in the relevant jurisdictions.
Cross-Functional Relationships - Collaborate with vendors, Risk Management and Technology Teams to ensure the successful management of technology releases, enhancements, defects, and production issues for CMC’s technology solutions.
Surveillance Governance - Oversee the maintenance, and policy adherence for Business Managed Technologies (BMTs) and process automations.
Strategic Initiatives - Provide advice to the trade surveillance teams on optimizing use of applications and technology for monitoring purposes.
You’re proficient in using PowerPoint and Excel. It’s an asset if you have project management experience.
It’s an asset if you have prior surveillance or compliance experience.
You know that relationships and networks are essential to success.
You give meaning to data. 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.
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 .
Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance, Risk Assessments, Strategic Advice Similar Jobs (5)
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locations Toronto, ON time type Full time posted on Posted 10 Days Ago 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: 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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