Senior Manager, Regulatory Supervision

CIBC•Edmonton, AB

3d•Hybrid

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. As the Senior Manager, Regulatory Supervision, reporting to the Director, Regulatory Supervision, you will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide 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. 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

Experience in Tier 1 supervision and/or in financial services and brokerage industry in a similar capacity.
Registered as CIRO-ID Supervisor.
Current accreditation and good standing with the Canadian Securities Course (CSC); the Conduct and Practices Handbook (CPH); the Derivative Fundamentals and the Option Licensing Course (DFOL); Options Supervisors Course (OPSC).
Completion of the Branch Managers Course (BMC) and/or Investment Dealer Supervisors Course (IDSC).

Nice To Haves

Passionate about people.
Find meaning in relationships, and surround yourself with a diverse network of partners.
Build trust through respect and authenticity.
Act like an owner.
Thrive when you're empowered to take the lead, go above and beyond, and deliver results.
Look beyond the moment.
Make decisions and take actions that will make a difference today and tomorrow.
Proactively seek new opportunities to define what's possible.
Influence makes a difference.
Know that relationships and networks are essential to success.
Inspire outcomes by making yourself heard.
Understand that details matter.
Notice things that others don't.
Critical thinking skills help to inform your decision making.
Values matter to you.
Bring your real self to work and you live our values – trust, teamwork and accountability.

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.

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