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Senior Consultant, Regulatory Compliance Manager

2 days ago

Toronto, Ontario, 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

The Senior Consultant, Regulatory Compliance Management (RCM), is a key member of the Capital Markets Compliance, Regulatory Compliance Management team, serving as the Primary Oversight Function (OF) Lead and reporting to the Senior Director. You will supports the RCM Accountable Officer and will be responsible for executing oversight activities while serving as a subject matter expert for specific regulatory requirements, ensuring the Bank's regulatory compliance risk is managed within acceptable levels and in accordance with CIBC's RCM Policy and supporting documentation.

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.

How you'll succeed

  • Regulatory Monitoring and Communication – Monitor regulatory developments, analyze and assess the impact of changes, review complex documentation, and communicate relevant updates and actionable guidance to business units and RCM Portfolio Managers.

  • Risk Assessment, Compliance Advisory, and Deficiency Management – Conduct comprehensive risk assessments, evaluate new initiatives for regulatory risk, advise on compliance measures, escalate regulatory risks, and coordinate remediation and deficiency management with business units.

  • RCM Library Management – Responsible for ensuring the accuracy and currency of Capital Markets Compliance's RCM library of regulatory group topics in Canada. This includes the analysis of relevant laws, regulations and rule books to identify obligations to CMC Canada's area of oversight.

  • Advisory, Coordination, and Relationship Management – Provide expert guidance on RCM program requirements, collaborate with business management to establish effective controls and policies, participate in oversight meetings, and maintain strong relationships with key stakeholders.

  • Reporting, Documentation, and Effectiveness Assessment – Support the preparation of RCM-related reports and metrics, maintain and refresh standardized documentation, and complete effectiveness assessments to demonstrate oversight accountabilities and control adequacy.

  • Leadership and Process Optimization – Lead and guide business units in executing the RCM Program, identify and monitor regulatory compliance risks, implement process improvements, and share best practices to drive operational excellence.

Who you are

  • You can demonstrate 5–10 years of progressively responsible business experience and/ or experience in Capital Markets compliance.

  • You have a degree in Business, Finance or Legal domains. It's an asset if you possess a JD or LLB designation.

  • You can demonstrate proven expertise in reviewing complex legal and regulatory documentation, identifying key requirements, monitoring regulatory changes, and collaborating to implement effective controls, policies, and procedures. It's an asset if have a deep understanding of risk assessment methodologies, control concepts, and regulatory environments applicable to financial institutions, including the CIBC Control Framework.

  • You can demonstrate strong verbal, written, and presentation abilities, complemented by a proven capacity to build and maintain effective partnerships with internal and external stakeholders. You can demonstrate advanced problem-solving skills, excellent judgment, and the ability to prioritize and manage multiple projects independently in a fast-paced environment

  • You can demonstrate knowledge of and experience with key regulatory bodies, including Canadian Investment Regulatory Organization (CIRO), Canadian Securities Administrators (CSA) includes Ontario Securities Commission and Montreal Exchange

  • You can demonstrate a strong legal mindset, with experience interpreting legislation, regulatory guidance, and legal opinions, and translating complex legal requirements into practical, risk-based advice, controls, and business outcomes.

  • 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 Mailbox.careers-

  • CIBC is committed to clarity in our hiring process. All roles posted are opportunities we're actively recruiting for, unless stated otherwise.

  • 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 test (such as simulation, coding, French proficiency).

  • We use artificial intelligence tools during the recruitment process. 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-161 Bay St., 10th

Employment Type

Regular

Weekly Hours

37.5

Skills

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