About The Position
Commercial Banking & Wealth Management Compliance (CBWMC) provides securities regulatory advice and oversight to CIBC’s Canadian securities registered businesses and individual registrants. As a Compliance Officer, Electronic Communications (E-Comms) Surveillance, you’ll support and execute the CBWMC E-Comms Surveillance program. In this role, you’ll monitor, review, and escalate matters related to the conduct of Canadian securities registrants across Personal and Business Banking (PBB), Commercial Banking and Wealth Management (CBWM), and CIBC Asset Management Inc. (CAMI) to ensure compliance with regulatory requirements and internal policies. You’ll play a key role in maintaining oversight of electronic communications, helping to safeguard ethical business conduct and regulatory adherence. Collaboration is essential, as you’ll work closely with Senior Compliance Officers, internal compliance teams, and business partners to support each of CBWMC’s registered Chief Compliance Officers (CCOs). Your contributions will help foster a strong compliance culture across the organization. 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.
Requirements
- 2+ years of experience in compliance, risk management, surveillance, or control functions within financial services.
- University degree or college diploma in Business, Finance, Law, or a related discipline, or possess equivalent work experience.
- Knowledge of the regulatory landscape for CIBC’s securities businesses, including retail investment and mutual fund dealer and investment adviser activities, conduct risk, and compliance frameworks.
- Proficient with Excel, Word, PowerPoint, and can quickly learn new applications.
- Strong written and verbal communication skills, with the ability to summarize findings concisely.
- Bring your real self to work, and you live our values - trust, teamwork, and accountability.
Nice To Haves
- Completion of the Canadian Securities Course, Conduct and Practices Handbook, Options Supervisors Course, Branch Managers Course, Partners, Directors and Officers Course, or equivalent is considered an asset.
- Written and spoken knowledge of French is an asset but not required.
Responsibilities
- Conduct surveillance by reviewing electronic communications to ensure adherence to regulatory requirements, company policies, practices, and acceptable standards of business ethics and conduct for applicable CBWMC businesses.
- Carry out initial investigations into matters related to employee conduct and potential non-compliance with internal or regulatory requirements. Determine when escalation to a Senior Compliance Officer for advanced investigation is required.
- Clearly communicate surveillance and investigation results to internal partners, including identified risks and recommended remedial actions.
- Prepare summaries, logs, and reports of surveillance reviews and investigations for compliance management. Highlight emerging risks and patterns, maintain accurate records, and assist with internal requests, audits, and regulatory inquiries.
- Support updates to policies and procedures, identify opportunities to enhance internal processes, participate in user testing for surveillance technology tools, and maintain awareness of relevant regulatory obligations to ensure ongoing alignment.
Benefits
- Competitive salary
- Incentive pay
- Banking benefits
- Benefits program
- Defined benefit pension plan
- Employee share purchase plan
- Vacation offering
- Wellbeing support
- MomentMakers, our social, points-based recognition program
- Purpose Day; a paid day off dedicated for you to use to invest in your growth and development
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
