Senior Manager, Advanced Oversight, Investigations

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 Senior Manager will report to the Senior Director, Advanced Oversight, Investigations & Regulatory Response (AOIRR).

As part of the CIBC Commercial Banking and Wealth Management Compliance team, you will provide risk-based independent oversight of compliance with laws and regulations, conduct and oversee internal investigations of securities registrants across Wealth Management (WM) and Personal and Business Banking (PBB), primarily with respect to Investment Dealers - CIBC Wood Gundy (WG) and CIBC Investor Services Inc. (ISI), and Mutual Fund Dealer - CIBC Securities Inc. (SI). You will support WM's and PBB's interactions with regulators – including the Canadian Investment Regulatory Organization (CIRO), and the member securities commissions of the Canadian Securities Administrators (CSA), in connection with all regulatory investigations, business and trading conduct compliance examinations, and other regulatory inquiries and reviews of WM's and PBB's businesses or staff. This role involves working closely with internal compliance and business partners in support of each of CBWMC's registered Chief Compliance Officers (CCOs), delivering on key components of their regulatory accountabilities under the guidance and leadership of the Senior Director, AOIRR. You will be responsible for monitoring, advising and reporting on the adherence to regulatory and business requirements, CIBC corporate policies, practices and acceptable standards of business ethics and conduct.

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 which will be discussed at the time of your interview.

How you'll succeed

• Leadership – Effectively lead, guide and inspire a team of Compliance Officers as they execute on the AOIRR team's mandate with respect to advanced oversight, investigations and regulatory response, ensuring adherence to regulatory requirements, company policies, practices and acceptable standards of business ethics and conduct.
• Advanced Oversight & Investigations – Perform and oversee the AOIRR team's advanced oversight, monitoring and analysis to identify and escalate potential instances of material risk or conduct issues within CBWMC businesses; perform and coordinate internal reviews and investigations, relating to employee conduct and instances of potential non-compliance with internal or regulatory requirements, including complex and non-routine reviews in each of the various retail securities lines of business CBWMC supports in WM and PBB.
• Regulatory Response – Facilitate proactive reporting of internal investigations, potential employee misconduct, instances of non-compliance and internal disciplinary action via ComSet, Gatekeeper Report, or otherwise, as deemed necessary in accordance with regulatory requirements and expectations; assist in the management and response to regulatory investigations and examinations including responding to requests for information and liaising with regulators and internal business partners, as necessary, and support remediation plans relating to regulator-identified deficiencies and observations.
• Cross-functional Relationships – Fostering strong internal relationships – including with business management, CIBC governance partners, Internal Audit, Legal and other CIBC Compliance and Risk Management groups, is essential. Maintain strong relationships with external regulators such as CIRO and the various provincial securities commissions.
• Continuous Improvement – Assisting with updates to existing policies and procedures and/or the development of new policies as necessary to address areas of risk, regulatory developments and/or internal or regulatory deficiencies; identifying and addressing opportunities for improvement to enhance the efficiency and effectiveness of internal processes/methodologies.

Who You Are

• You're a certified professional. Successful completion of the Canadian Securities Course, Investment Dealer Supervisor Course/Branch Manager's Course and the Options Supervisor Course is necessary for this role. Conduct and Practices Handbook, Branch Compliance Officer's Course, Partners, Directors, and Senior Officer's Course are strong assets.
• You have a University Degree/ College Diploma or equivalent work experience.
• You can demonstrate a minimum of 5-7 years of direct Compliance experience and/or relevant investment industry experience.
• You have proven leadership experience with a track record of leading and developing others. You can proactively assist the Senior Director and colleagues with more advanced and non-routine matters including representing Compliance on business initiatives.
• You have a deep understanding of Canadian investment dealer and mutual fund dealer business models and their processes; and ideally have front-line experience in those business lines or comprehensive knowledge developed from previous roles.
• Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard and you naturally build credibility through thoughtful consideration, competency, and diplomacy.
• You understand that success is in the details. You notice things that others don't. Your critical thinking skills help to inform your decision making.
• You give meaning to data. You enjoy investigating complex problems and making sense of information. You're confident in your ability to communicate detailed information in an impactful way.
• 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

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- 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.
- We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, French proficiency, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.

Job Location

Toronto-81 Bay, 31st Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Quality Assurance Review, Quality Investigations, Regulatory Compliance, Regulatory Requirements, Risk Assessments, Strategic Objectives