US Global Markets Fixed Income Compliance Officer

CIBC•New York, NY

1d•Onsite

About The Position

The US Fixed Income Compliance Officer is responsible for performing important advisory and monitoring functions to support CIBC’s U.S. Fixed Income Compliance program. The Compliance Officer is responsible for the implementation and oversight of CIBC’s U.S. Fixed Income Compliance Program. The position requires strong knowledge of U.S. securities laws, the Department of the Treasury rules and regulations, and the ability to interact with senior managers and U.S. regulators.

Requirements

Strong interpersonal and written/verbal communication skills
Bachelor’s degree
Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, Word
Strong interpersonal skills in order to maintain working relationships
Excellent verbal and writing skills
Understanding of U.S. financial regulatory landscape, with an emphasis on U.S. broker-dealer regulations
In depth understanding of the U.S. Auction process and requirements
Must be legally eligible to work at the location(s) specified and, where applicable, must have a valid work or study permit.

Nice To Haves

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

Responsibilities

Managing CIBC’s Fixed Income Compliance Program, including monitoring the U.S. Treasury Auctions, coordinating the required annual certifications, training of relevant stakeholders, and being the point of contact for all related issues and matters.
Providing subject matter expertise on U.S. securities laws, FINRA rules and U.S. Department of Treasury rules and regulations.
Providing regulatory advice and guidance to firm management, support functions, and business lines within Fixed Income.
Create and map controls to regulatory obligations used in risk Assessments
Perform risk assessments on fixed income lines of business.
Training business line and support staff on rules and regulations, including the U.S. Treasury Auctions and Redemption Operations.
Drafting key policies and procedures relating to the U.S. broker-dealer, with a focus on policies relating to the U.S. Treasury markets.
Providing support with ongoing regulatory matters within U.S. Capital Markets, including, Fixed Income Sales and Trading.
Collaborating with Technology to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria.
Collaborating with Compliance Management to address potential regulatory issues and net new rule requirements.
Collaborating with Infrastructure support groups (e.g., Finance and Operations) on control issues.
Collaborating with US Legal to seek interpretive guidance on technical regulatory requirements.
Providing support to US regulators and CIBC Internal Audit staff during regulatory exams and audits.
Complying with all applicable CIBC and Line of Business policies, standards, guidelines and controls.
Reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements.
Completing all annual training requirements.

Benefits

Medical
Dental
Vision
Health Savings Account
Life Insurance
Disability
Other Insurance Plans
Paid Time Off (including Sick Leave, Parental Leave, and Vacation)
Holidays
401(k)
Incentive pay
Banking benefits
Benefits program
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