Compliance Officer

CIBC • Toronto, ON

2d • Hybrid

About The Position

CIBC Commercial Banking & Wealth Management Compliance provides independent oversight of compliance with legal, regulatory, and internal CIBC requirements across Commercial Banking & Wealth Management Canada's lines of business. As a Compliance Officer, Asset Management Compliance, you'll support the team by monitoring compliance activities, reviewing personal trading matters, and helping ensure regulatory obligations are met across the business. You'll review trade requests, investigate potential breaches, support reporting, and assess adherence to policies, procedures, and regulatory requirements. You'll also contribute to control room activities, participate in disclosure reviews, and support training and policy updates. In this role, you'll build strong working relationships across Global Asset Management, infrastructure partners, and Compliance team members while serving as a trusted advisor on personal trading and related compliance matters.

Requirements

• Relevant compliance or financial services experience.
• 3 to 5 years of financial services industry experience, with at least 1 to 3 years of experience in compliance, auditing, or investment management.
• Understanding of the importance of accuracy, timeliness, and sound judgment in a regulated environment.
• Strong foundation in learning and professional development.
• Highly organized and detail-oriented.
• Ability to manage multiple priorities, work through frequent interruptions, and maintain a high level of accuracy in time-sensitive activities.
• Ability to stay focused while reviewing reports, statements, and regulatory materials.
• Well-developed written and verbal communication skills.
• Ability to prepare clear reports and correspondence.
• Ability to build effective working relationships with employees, managers, and business partners using tact, discretion, and professionalism.
• Proactive and dependable.
• Ability to take initiative, work well independently, and know when to escalate issues.
• Ability to use sound judgment to assess routine and non-routine compliance matters and help ensure important activities are completed on time.
• Working knowledge of Microsoft Word, Outlook, Excel, and PowerPoint.

Nice To Haves

• A university degree is preferred.
• Completed, or willingness to complete within a specified timeframe, the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH), along with other industry courses as required.
• French language skills are an asset.

Responsibilities

• Monitor adherence to applicable laws, regulations, internal policies, and standards of business conduct for the assigned line of business.
• Review daily trading reports, identify potential issues, and investigate situations of non-compliance.
• Support onboarding activities and oversee initial and annual Personal Trading Policy attestations.
• Disposition trade requests that are not auto-adjudicated.
• Review monthly account statements to confirm compliance with pre-approval processes and restrictions.
• Prepare data and reporting on personal trading monitoring.
• Act as a control room function by assessing the permissibility of securities trading based on information received from affiliates.
• Serve as a reviewer for continuous statutory disclosure documents, including prospectuses, management reports of fund performance, and offering memoranda, to help ensure compliance with regulatory requirements.
• Maintain strong working relationships with Global Asset Management, infrastructure partners, and team members across Compliance.
• Provide guidance to business and support teams on personal trading and control room activities.
• Maintain relevant compliance procedures, contribute to policy updates, and participate in the development and delivery of compliance training.
• Support special projects and assignments as needed.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree