Manager, Regulatory Supervision, Private Wealth
3 weeks ago
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
- At CIBC we enable the work environment most optimal for you to thrive in your role._
- 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- Regulatory and Account Supervision - Manage and execute all day to day Tier I in-branch regulatory supervisory oversight; Review and approval of new client accounts, including all onboarding documentation, recommended portfolio asset allocation, Investment Policy Statement, KYC/suitability; client on-boarding documentation; review and interpretation of corporate and trust documentation, POAs, articles of incorporation; by-laws/board resolutions; authorities provided to signing officers, etc. Review and approval of new CPIC Foreign and US client accounts, including ensuring new business acceptance is within the bounds of securities regulations of the foreign jurisdiction or US State. Management and reporting of PWM’s New Client Enhanced Due Diligence and World Check client pre-onboarding process. As the CIRO BM and BM delegate for CPIC, accountable for the management, supervision and reporting of PWM LoBs complaint policies and process.; complaint management - accountable for the management, supervision and reporting of PWM LoBs complaint policies and process; Manage outgoing correspondence.- Registration - Manage end to end registration process of new PB ISI Registrants and CPIC Investment Counsellors/Associate Investment Counsellors; including notice of terminations and material changes within required timelines. Work directly with registrants and Asset Management Wealth Registrations as it relates to CPIC Associate Investment Counsellor upgrade of registration to full Investment Counsellor status, regarding the demonstration of ‘relevant investment management experience’ for submission to the appropriate provincial securities commission.- Risk Management & Audit and Deficiency Management - Manage audit preparedness activities and deliverables for internal audits / examinations for all PWM LOBs. Primary interface for business with audit groups during audit field work. Deficiency Management and oversight; including the engineering and execution of action plans and change management. Continuous improvement of LOBs risk management & controls framework to optimize control levels, realize operational efficiencies to improve the overall client experience.- Key Regulatory Support & Relationship Management - Provide leadership, direction, coaching, guidance and training as well as be responsible for providing strategic business and regulatory advice to PWM registrants and all frontline employees including senior leadership on business and regulatory issues and inquiries; complex related risk and compliance issues. Utilize strong partnering, influencing and interpersonal skills to work with multiple LoBs and client groups. Work with internal partners including legal, compliance and AML on complex issues, including escalation, policy exception.
Who you are- You’re a certified professional. You have successfully completed the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Branch Manager’s Course, and Effective Management Seminar within 30 months of hire or be willing to obtain IIROC Branch Manager accreditation.- You have well-developed knowledge of CIBC internal and external regulatory risk policies, procedures and controls sufficient to ensure compliance to IIROC and financial planning business. Knowledge of Portfolio Advisor regulations and standards would be an asset. Experience within Private Wealth Management would be an asset.- You have experience using the IIS platform, X.eye and ECIF, sufficient to support risk activities and to provide coaching from a risk perspective- You are a bold and authentic leader. You're passionate about developing and coaching to bring out the best in people. You have led diverse, high performing teams.- You're passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.- Values matter to you. You bring your real self to work and you live our values - trust, teamwork and accountability.- You're fluent in French and English to support business operations outside
- of Quebec, Canada.
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 giv
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