Senior Compliance Officer SWAP Dealer

2 weeks ago

Old Toronto, Canada CIBC Full time
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

What you’ll be doing

The Global Swap Dealer Compliance Officer is responsible for performing important advisory, training, surveillance and analytical functions to support CIBC’s Global Swap Dealer Compliance program. The Global Swap Dealer Compliance Officer is primarily responsible for advising CIBC’s global swaps business on CFTC, SEC, and NFA rule requirements, as well as CIBC’s Global Markets employees on the technical aspects of swap rules under the Dodd-Frank Act; collaborating with Front Office and Technology personnel on developing and implementing solutions to address regulatory requirements including swap trade reporting; identifying and addressing the regulatory aspects of new U.S. and cross-border business initiatives; assisting with regulatory exams by regulators such as CFTC, SEC and NFA; monitoring sales and trading activities to ensure compliance with CIBC policies and regulatory requirements.

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. Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview.

How you’ll succeed
  • Compliance Oversight – Oversee compliance advisory services on regulatory matters to personnel within U.S. Global Markets, including Equity and Commodity Derivatives, Interest Rate Derivatives, and FX Sales. Oversee the drafting of CIBC’s Annual Swap Dealer Chief Compliance Officer Report; Analyze, summarize, and circulate updates and changes of the applicable regulations to the Swap Dealer Compliance team and other business groups as needed.
  • Expertise and Training – Conduct Compliance training on matters pertaining to CFTC, SEC, (Dodd-Frank) and Volcker rule requirements.
  • Compliance Program – Design and implement key policies and procedures, a supervisory review system, and second line monitoring program of CIBC’s sales and trading activities of its derivatives businesses to assess overall compliance with CFTC and SEC rules pertaining to swaps rules implemented under the Dodd-Frank Act (e.g. real-time/SDR reporting, large trader reporting, external business conduct rules, etc.) Assist with Risk Assessments of derivatives trading desks.
  • Communication – Communicate effectively with internal partners and regulators. Clearly explain necessary changes to business unit procedures or controls to address adherence to CFTC, SEC & NAF rule requirements and other federal and state regulatory compliance requirements.
Who you are
  • You can demonstrate experience in the US regulatory environment relating to Swap Dealer business. You have understanding of OTC derivatives products and market knowledge. You have experience with MS Office Suite. It’s an asset if you have strong proficiency in PowerPoint, Visio, and Excel.
  • You give meaning to data. You enjoy investigating complex problems and making sense of information. You communicate detailed information in a meaningful way.
  • You look beyond the moment. You know what you do will make a difference today and tomorrow. You look for new opportunities to define what's possible.
  • 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

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.

Job Location Toronto-161 Bay St., 10th

Employment Type Regular

Weekly Hours 37.5

Skills Quality Assurance Review, Quality Investigations, Regulatory Compliance, Regulatory Requirements, Risk Assessments, Strategic Objectives #J-18808-Ljbffr

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