Officer, Regulatory Supervision
About The Position
As an Officer, Regulatory Supervision, you will report to the Director, Regulatory Supervision and will be accountable to ensure that an effective governance and control environment is in place within their designated branches by monitoring and advising on trade activity to ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You must fully understand all trade and account supervision requirements and ensure adherence to both internal and external timeframes and standards. You will support and assist the registered Supervisor(s) in the ongoing supervision of regulatory and compliance activities (daily, monthly and periodic) of the branch. 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
- Successfully completed the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH).
- Experience in financial services and brokerage industry in a similar capacity.
- Knowledgeable in policies and procedures related to trade execution.
- Well-developed knowledge of CIBC internal and external regulatory risk requirements, procedures and controls sufficient to ensure compliance.
- Solid understanding of the CIBC Wood Gundy business, along with the regulatory and compliance environment surrounding the branch network.
- Effective interpersonal skills to provide coaching and feedback to Branch Managers, Investment Advisors etc.
- Able to effectively communicate and convey potential risk situations and implications and provide training to branch staff.
- Effective time management skills sufficient to schedule, organize and complete work within established timeframes, while accommodating priorities.
- Must be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.
Nice To Haves
- Other associated CIRO registrations/courses are considered assets, i.e. Branch Managers Course and Options Supervision Course, etc.
Responsibilities
- Support and assist Managers with the review activities related to Trading and Accounts such as; Daily Commission Run (including Options), Universal Market Integrity Rules, Monthly Statement (Pros and Clients), Monthly Activity, Portfolio Partner Quarterly Activity, Simple Discretionary Accounts, CRM Sample Testing, Leveraged and Inverse Leveraged ETFs, Insurance Large Case Reviews and Inforce Policy, Individual Pension Plans, etc.
- Support and assist the Managers with the review of new accounts (including short options), account updates, etc.
- Support and assist the Managers with outgoing correspondence (including email, fax, etc.) and marketing.
- Support the resolution of Service Complaints and Sales Practice Complaints.
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
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
