Director, Investment Banking Compliance

CIBC•New York, NY

9d•$150,000 - $200,000•Onsite

About The Position

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. The Investment Banking Compliance Officer you will serve as a strategic partner to the business and internal stakeholders, advising on regulatory risk, transaction execution, and control frameworks for Investment Banking. You'll bridge front-office strategy with regulatory and governance considerations, delivering actionable insights that support complex transactions, market activity, and business growth. Your role will involve collaborating with Sales & Trading, Investment Banking, Legal, Risk, Compliance, and Operations teams to ensure transactions align with global regulatory requirements. You'll lead risk assessments, enhance governance frameworks, and provide guidance on market structure and trading conduct, helping clients navigate regulatory challenges and capitalize on market opportunities.

Requirements

Strong interpersonal and written/verbal communication skills
Bachelor’s degree; J.D. preferred
Strong technical skills in Microsoft Excel, Powerpoint, Sharepoint, Word
Comprehensive understanding of US regulatory landscape, private side business activities relating to Investment Banking, Corporate Banking, and Debt Capital Markets
Excellent communication skills, with the ability to translate complex regulatory concepts into business-focused advice.
Series 7, 63 preferred (24 license a plus)
Cross Functional Relationships: This job requires interaction with: Technology in order to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria; Compliance Management to collaborate with potential regulatory issues and net new rule requirements; Infrastructure support groups (e.g., Finance and Operations) to collaborate on control issues; US Legal to seek interpretive guidance on technical regulatory requirements; and US regulators and CIBC Internal Audit staff during regulatory exams and audits
As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls.
As a Compliance Officer, this job is accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements
As an employee of CIBC, the incumbent must complete all annual training requirements
Values matter to you. You bring your real self to work and you live our values – trust, teamwork, and accountability.
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, MS Office).

Nice To Haves

J.D. preferred
Series 7, 63 preferred (24 license a plus)

Responsibilities

Advise corporate and financial institution clients on regulatory considerations impacting capital markets transactions, including debt capital and equity offerings, derivatives strategies, and structured products.
Reviewing Watch and Restricted List surveillance reports to identify any suspicious or prohibited transactions.
Maintaining the U.S. portion of CIBC’s Global Watch and Restricted Lists through frequent communication with U.S. Investment Banking, Corporate Credit and Capital Markets staff to ensure deal information is current and accurate.
Preparation of management information as it relates to the control room and other internal reporting.
Partner with Sales & Trading, Investment Banking, and Legal teams to evaluate transaction structures, ensuring alignment with SEC, SRO, and global regulatory requirements.
Conduct diligence on trading activity, supervisory frameworks, and control environments as part of transaction advisory and client engagements.
Develop and enhance governance frameworks, policies, and supervisory procedures to support capital markets activities and mitigate regulatory risk.
Review and preparation of training materials and conduct training both to compliance and to business as required.
Advise on remediation strategies and control enhancements in response to regulatory findings, due diligence outcomes, or transaction-related risks.
Support senior client discussions and internal committees by delivering insights on regulatory trends, enforcement developments, and market best practices.
Collaborate cross-functionally with Risk, Compliance, and Operations to align advisory recommendations with business strategy and execution capabilities.
Providing support with ongoing regulatory matters within U.S. Capital Markets.
Complete compliance risk assessments for the businesses.
Create and map controls to regulatory obligations used in risk Assessments