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.

To learn more about CIBC, please visit CIBC.com

What you’ll be doing

Reporting to the Senior Manager, Central Regulatory Supervision Team (CRST), CIBC Governance and Controls, you’ll be responsible for CIRO ID Tier One trade review and other supervision activities for CIBC Imperial Service/Private Wealth Management and CIBC Financial Planning Inc.  You’ll be part of a centralized team and perform both daily and monthly reviews within set times lines. 

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.  

How you’ll succeed

Trade reviews -  Conduct daily and monthly reviews within set timelines. Review daily trades within 24 hours.  Flag activity like manipulative and deceptive trading, lack of suitability, undue concentration of securities, excessive trade activity, restricted account activity, conflict of interest between Financial Advisor and client trading activity, excessive trade transfers, trade cancellations, inappropriate or high risk trading strategies, improper employee trading and front running.  Retain evidence of review, queries, and responses received.

Additional reviews - Review of PPS new account documentation & KYC, Tier 1 Trades, KYC Changes, Monthly statement reviews, UMIR.  Perform daily reviews to ensure client holdings are appropriate, based on the established investment threshold. Correspondence, Account Transitions, Client Complaints and IIS KYC Changes.

Relationship building - Liaise with internal CIBC departments such as Compliance, AML, Frontline staff on a regular basis, PWM, CFP, as required.

Who you are

You can demonstrate experience in CIBC internal/external regulatory risk policies, procedures and controls. Developed research and analysis skills sufficient to identify potential risk issues and trends. Knowledge of ADP, TOPS, IBM CM systems is an asset. Strong Excel skills. Current professional knowledge, specifically related to CIRO ID and CIBC compliance requirements.

You’re a certified professional. Registered at least 2 years with CIRO. Successful completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH). Investment Dealers Supervisor Course (IDSC) and Derivatives Fundamentals Course (DFC) are nice to have.

You give meaning to data. You enjoy investigating complex problems, and making sense of information. You're confident in your ability to communicate detailed information in an impactful way.

Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.

You understand that success is in the details. 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. 

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, French proficiency, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.

Job Location

Toronto-81 Bay, 24th Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Regulatory Compliance