Vice-president, Compliance, Capital Markets

3 weeks 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.

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The Vice-President, Compliance, Capital Markets’ mandate is to discharge the Compliance Department’s mandate in matters touching upon the institutional activities of the Capital Markets Strategic Business Unit (i.e. Global Markets, Investment Banking and Corporate Banking) as well as certain aspects of the Commercial Banking line of business (Canada), and those activities of the Risk Management Department that are related to the Capital Markets strategic business unit. The role has direct responsibility for executing these functions with respect to Capital Markets’ Canadian business and globally through the Heads of Compliance for Capital Markets in the U.S., Europe/U.K. and Asia-Pacific.

As an organizational leader, this role champions:

- CIBC employee experience principles:_- Always professionalso our team members can excel and be their best professional self.- Radically simpleso our team members can focus on what they need to do and make an impact.- Genuinely caringso our team members can feel valued for who they are and what they contribute.
- CIBC leadership capabilities:_- Envisions the future to innovate purposefully to create new value and harness new capabilities in order to meet the evolving needs of our diverse stakeholders.- Inspires hearts and minds to build an inclusive culture where we make bold choices, collaborate, and empower others to take chances and do what’s right for our stakeholders.- Drives action and impact, together to align with urgency around what matters, making decisions with speed and always making a real difference.

What You’ll be Doing

Compliance Program

Lead the development of a sound and robust compliance program, and oversee the effective execution of that program, by:
- developing and maintaining a high degree of familiarity with the relevant business units within Capital Markets and a degree of familiarity with business units outside Capital Markets;- undertaking significant consultation, and exercising sound judgment, in determining the components of the Capital Markets compliance program, including:
- the development of appropriate policies, procedures, standards and guidelines;-
- the management of actual or potential conflicts of interest;-
- monitoring, surveillance and testing of Capital Markets’ activities; and-
- training and education of Capital Markets staff;-
- managing the ongoing execution of the Capital Markets Compliance Program;- building and maintaining relationships with conduct and securities regulators on a global basis and acting as the registered Chief Compliance Officer for CIBC World Markets Inc. (WMI); and- identifying synergies across Compliance and Global Regulatory Affairs and recommending and implementing plans to achieve them.

Supporting Business Management

Provide ongoing assistance to the management and staff of Capital Markets by:
- keeping Capital Markets management informed as to applicable regulatory requirements, and businesses’ state of compliance with those requirements;- providing advice to business management about new initiatives, existing products and services, and regulatory compliance issues as they arise from time to time;- maintaining a professional and collaborative relationship with business management, in a manner consistent with the proper discharge of the Compliance Department’s mandate;- managing and/or facilitating examinations and investigations by regulators; and- conducting or assisting in internal examinations and investigations.

Advise and assist the CCO to provide ongoing assistance to the management and staff of other Strategic Business Units by:
- providing advice to business management about new initiatives, existing products and services, and regulatory compliance issues as they arise from time to time;- maintaining a professional and collaborative relationship with business management of all SBUs and functional groups, in a manner consistent with the proper discharge of the Compliance and Global Regulatory Affairs Department’s mandate; and- managing and/or facilitating regulatory examinations and investigations.

Internal Reporting

Provide professional, accurate and timely reporting, including:
- where and as appropriate, escalate incidents of material non-compliance or conflicts of interest to the CCO and to senior Capital Markets management, including results of examinations, monitoring and testing;- participate in and contribute to CGRA’s regulatory reporting; and ongoing reporting to the CCO and to the Enterprise-Wide Compliance group (as applicable).

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