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 (https://www.cibc.com/en/about-cibc.html) **What you’ll be doing** As part of the CIBC Commercial Banking and Wealth Management Compliance team, you’ll provide independent oversight of compliance with laws and regulations applicable to the CIBC Wood Gundy (“CWG”) and the CIBC Investor Services Inc. (“ISI”) lines of business regulated by Canadian Investment Regulatory Organization (“CIRO”). Monitoring, advising and reporting on the adherence to regulatory and business requirements, CIBC corporate policies, practices and acceptable standards of business ethics and conduct. _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 2-3 days per week on-site, while other days will be remote._ **How you’ll succeed** + **Monitoring Activities** – Monitor ongoing activities including the timely review of daily/monthly trading/business activity to ensure adherence to regulatory requirements, company policies, practices and acceptable standards of business ethics and conduct of CWG and ISI. + **Compliance** - Follow up on questionable business conduct or regulatory non-compliance items or activities, assess impact and determine courses of action required, including escalations. + **Communication** - Effectively communicate with internal partners and regulators, including investigations and preparation of correspondence. **Who You Are** + **You can demonstrate** a minimum of 5 years of direct Compliance experience and/or relevant investment industry experience. + **You have a deep understanding** of full-service investment dealer firm as well as order-execution-only investment dealer firm business processes **.** + **You can demonstrate successful completion of the Canadian Securities Course or the Canadian Investment Regulatory Exam and Retail Securities Exam** . **It is an asset** if you have successfully completed the Conduct and Practices Handbook, Options Supervisors Course, Branch Managers Course, Partners, Directors and Officers Course, or equivalent. + **You demonstrate natural leadership** and can proactively assist the Senior Manager and colleagues with more advanced and non-routine matters including representing Compliance on business initiatives. + **You can demonstrate effective communication skills** and have strong proficiency in writing various reports. + **Your influence makes an impact.** You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard and you naturally build credibility through thoughtful consideration, competency, and diplomacy. + **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. + **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. + **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 + CIBC is committed to clarity in our hiring process. All roles posted are opportunities we’re actively recruiting for, unless stated otherwise. + 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 test (such as simulation, coding, French proficiency). + We use artificial intelligence tools during the recruitment process. 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, 31st Floor **Employment Type** Regular **Weekly Hours** 37.5 **Skills** Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance, Risk Assessments, Strategic Advice At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability. Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel. Every day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.