Senior Manager, Regulatory Supervision
About The Position
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
- Demonstrate 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
- You're passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
- You act like an owner. You thrive when you're empowered to take the lead, go above and beyond, and deliver results.
- You look beyond the moment. You make decisions and take actions that will make a difference today and tomorrow. You proactively seek new opportunities to define what's possible.
- Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
- You understand that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making.
- Values matter to you. 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
- a benefits program
- defined benefit pension plan
- an employee share purchase plan
- a 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
Senior
Education Level
No Education Listed
