Manager, Regulatory Supervision, Private Wealth

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.

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

  • Manager, Supervision

    6 days ago

    Toronto, Canada Wellington-Altus Private Wealth Inc. Full time

    **Manager, Supervision** **Location**: This position can be located in any of our corporate offices in Canada. **Our organization**: Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions...

  • Manager, Regulatory Supervision, Private Wealth

    2 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...

  • Private Wealth Portfolio Manager

    2 weeks ago

    Toronto, Ontario, Canada iA Private Wealth Inc. Full time

    Description JOB PURPOSE: This role will supervise and manage the assets of a suite of existing investment funds in accordance with their pre-established investment policies as described in their offering documents. The PM will also work closely with the investment committees of the funds to coordinate investment decisions during investment committee...

  • Private Wealth Portfolio Manager

    4 weeks ago

    Toronto, Canada iA Private Wealth Inc. Full time

    Description JOB PURPOSE: This role will supervise and manage the assets of a suite of existing investment funds in accordance with their pre-established investment policies as described in their offering documents. The PM will also work closely with the investment committees of the funds to coordinate investment decisions during investment...

  • Compliance & Supervision Analyst

    4 weeks ago

    Toronto, Canada Wellington-Altus Private Wealth Inc. Full time

    **Compliance and Supervision Analyst** **Location**: This position can be based in our Toronto, Winnipeg, Calgary, or Vancouver office. **Our organization**: Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc.,...

  • Vice-president, Compliance and Regulatory Affairs

    2 weeks ago

    Toronto, Ontario, Canada Wellington-Altus Private Wealth Inc Full time

    Vice-President, Compliance and Regulatory AffairsLocation: This position can be based in our Toronto, Winnipeg, Calgary, or Vancouver OfficeOur organization:Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel and Wellington-Altus Private Wealth —the top-rated* wealth advisory company...

  • Manager, Supervision

    1 month ago

    Toronto, Canada Wellington-Altus Full time

    Manager, Supervision Location: This position can be located in any of our corporate offices in Canada. Our organization: Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions...

  • Supervising Portfolio Manager

    3 weeks ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **Department Overview**: Supervision, Support and Governance (SS&G) is responsible for managing the overall risk and governance for BMO Private Wealth. The Managed Portfolio Account (MPA) Supervision team, which is part of the broader SS&G team, provides regulatory oversight for BMO Nesbitt Burns Managed...

  • Vp, Regulatory Affairs

    2 weeks ago

    Toronto, Canada Aviso Wealth Full time

    **Aviso Wealth**: **The Opportunity**: We’re looking for a VP, Regulatory Affairs, to join our Compliance team. This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON. Reporting to the Chief Compliance Officer, the VP, Regulatory Affairs is responsible for the enhancement and...

  • Private Wealth Portfolio Manager

    4 days ago

    Old Toronto, Canada Iaawg Full time

    Private Wealth Portfolio Manager page is loaded Private Wealth Portfolio Manager Apply locations Toronto, Ontario Montreal, Quebec Quebec, Quebec time type Full time posted on Posted 5 Days Ago job requisition id JR10020493 Job DescriptionJOB PURPOSE:This role will supervise and manage the assets of a suite of existing...

  • Private Wealth Portfolio Manager

    6 days ago

    Old Toronto, Canada Iaawg Full time

    Private Wealth Portfolio Manager page is loaded Private Wealth Portfolio Manager Apply locations Toronto, Ontario Montreal, Quebec Quebec, Quebec time type Full time posted on Posted 5 Days Ago job requisition id JR10020493 Job DescriptionJOB PURPOSE:This role will supervise and manage the assets of a suite of existing...

  • Avp, Compliance, Wealth and Chief Compliance

    3 weeks ago

    Toronto, Canada TD Bank Full time

    **TD Description** Stay current and competitive. Carve out a career for yourself. Grow with us. **Department Overview** - The Global Compliance Department is responsible for overseeing regulatory compliance across TDBG in accordance with the Global Compliance Operating Framework. The team is accountable for promoting regulatory compliance by developing and...

  • Associate Risk Management

    2 weeks ago

    Toronto, Ontario, Canada CI Private Wealth Canada Full time

    CI Private Wealth specializes in managing the affairs of successful Canadian families. As a multi-family office, we offer a comprehensive suite of services that goes beyond investment management by providing valued advice that touches on all aspects of our clients' lives. Our customized services include sophisticated financial planning and tax strategies,...

  • Vp, Regulatory Affairs

    2 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    Aviso Wealth:The Opportunity:We're looking for a VP, Regulatory Affairs, to join our Compliance team.This role can be mostly remote, however we will on occasion require you to come onsite to our office at 151 Yonge St, Toronto, ON.Reporting to the Chief Compliance Officer, the VP, Regulatory Affairs is responsible for the enhancement and effectiveness of the...

  • Private Wealth Portfolio Manager

    4 days ago

    Old Toronto, Canada iA Financial Group Full time

    Job category: Business Administration, Finance and AccountingThis role will supervise and manage the assets of a suite of existing investment funds in accordance with their pre-established investment policies as described in their offering documents. The PM will also work closely with the investment committees of the funds to coordinate investment decisions...

  • Private Wealth Portfolio Manager

    6 days ago

    Old Toronto, Canada iA Financial Group Full time

    Job category: Business Administration, Finance and AccountingThis role will supervise and manage the assets of a suite of existing investment funds in accordance with their pre-established investment policies as described in their offering documents. The PM will also work closely with the investment committees of the funds to coordinate investment decisions...

  • Manager, Regulatory Initiatives

    2 weeks ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 198096 Join a purpose driven winning team, committed to results, in an inclusive and high-performing culture. Purpose The Manager, Regulatory Initiatives & Reporting (1A) reports to the Senior Manager, Regulatory Initiatives & Reporting for Private Investment Counsel (PIC). The incumbent is responsible for supporting PIC’s audit and...

  • Portfolio Analyst, Private Capital

    3 weeks ago

    Toronto, Canada Nicola Wealth Full time

    We have a lot to be proud of at Nicola Wealth. Our sophisticated financial planning, our diversified private investment funds and their exceptional performance, our 99% client retention rate and our award-winning culture, combine to position us as a national leader in wealth management. Recognized as a Best Managed Company and one of Canada's Top Employers,...

  • Private Wealth Senior Designer Consultant

    2 days ago

    Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Private Wealth Senior Consultant, Learning Designer page is loaded Private Wealth Senior Consultant, Learning Designer Apply locations Toronto, ON time type Full time posted on Posted 6 Days Ago job requisition id 2413058 We’re building a relationship-oriented bank for the...

  • Private Wealth Senior Designer Consultant

    1 day ago

    Old Toronto, Canada Canadian Imperial Bank of Commerce Full time

    Private Wealth Senior Consultant, Learning Designer page is loaded Private Wealth Senior Consultant, Learning Designer Apply locations Toronto, ON time type Full time posted on Posted 6 Days Ago job requisition id 2413058 We’re building a relationship-oriented bank for the...