Senior Manager, Regulatory Supervision - Bilingual

CIBC•Montreal, QC

7d•Hybrid

About The Position

As the Senior Manager, Regulatory Supervision - Bilingual, you will report to the Director, Regulatory Supervision and will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide subject matter leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You will also recommend strategies to assist employees in reducing follow up with respect to supervisory related queries. At CIBC we enable the work environment most optimal for you to thrive in your role. Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview.

Requirements

Experience in Tier 1 supervision in financial services and brokerage industry in a similar capacity.
Current accreditation and good standing with the Canadian Securities Course (CSC); the Conduct and Practices Handbook (CPH); the Derivative Fundamentals and Option Licensing Course (DFOL); the Investment Dealer Supervisors Course (IDSC) or the Branch Managers Course; the Options Supervisory Course. Or CIRO Derivatives Exam and CIRO Supervisors Course.
Registered as an ID Supervisor with CIRO.
Fluent in French and English.

Responsibilities

Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs).
Oversee trading and account supervision for the Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and more.
Reviewing and approval of new accounts and account updates.
Effectively manage the overall governance and compliance framework for the branch.
Providing support and/or responsible for items related to branch operational risk.
Create a culture of operational excellence, ensure adherence to the management of irregularities, Code of Conduct, compliance policies, reputation and legal risk policies and training requirements, role model CIBC’s vision and values, communicate, implement and educate employees on compliance policies & procedures.