Manager, Regulatory Supervision

2 months ago

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

As the Manager, Regulatory Supervision, you will report to the Director, Regulatory Supervision and will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You will also recommend strategies to assist employees in reducing follow up with respect to supervisory related queries.
- 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- Supervision - Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs). You will also be required to oversee trading and account supervision for the Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and more.- Account Opening & Documentation - Reviewing and approval of new accounts and account updates.- Governance and Controls - Effectively manage the overall governance and compliance framework for the branch. Providing support and/or responsible for items related to branch operational risk.- Operational Excellence - Create a culture of operational excellence, ensure adherence to the management of irregularities, Code of Conduct, compliance policies, reputation and legal risk policies and training requirements, role model CIBC’s vision and values, communicate, implement and educate employees on compliance policies & procedures.

Who you are- You can demonstrate experience. In financial services and brokerage industry in a similar capacity.- You’re a certified professional. You have current accreditation and good standing with the Canadian Securities Course; the Conduct and Practices Handbook; the Derivative Fundamentals Course and the Option Licensing Course; the Options Supervisory Course; and the Branch Manager’s Course. You are also Registered as a Supervisor with CIRO.- You act like an owner. You thrive when you're empowered to take initiative, go above and beyond, and deliver results.- 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 knowYou 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-81 Bay, 12th Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Business Controlling, Client Service, Compliance Monitoring, Group Problem Solving, Regulatory Requirements, Risk Management Assessment, Waterfall Project Management, Work Collaboratively

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