Experience with u.s. treasury rules and regulations
Ability to interact with senior managers and regulators
The role is responsible for implementing and overseeing CIBC's U.S. Fixed Income Compliance Program while ensuring adherence to federal regulations
Job Summary
The role is responsible for implementing and overseeing CIBC's U.S. Fixed Income Compliance Program while ensuring adherence to federal regulations.
Candidates will provide subject matter expertise on FINRA rules and U.S. Department of Treasury regulations to business lines and support functions.
CIBC offers a competitive total rewards package including medical, dental, vision, life insurance, and a discretionary bonus component.
Matching Summary
The role is responsible for implementing and overseeing CIBC's U.S. Fixed Income Compliance Program while ensuring adherence to federal regulations.
Salary
Base: $150,000-$180,000 (NY market); Bonus: Eligible for incentive compensation plan with discretionary component; Benefits: Medical, Dental, Vision, 401(k), Paid Time Off
Skills & Requirements
Must-have
Strong knowledge of U.S. securities laws
Experience with U.S. Treasury rules and regulations
Ability to interact with senior managers and regulators
Managing Fixed Income Compliance Program
Drafting policies for U.S. broker-dealer operations
Nice-to-have
Strong interpersonal communication skills
Collaboration with cross-functional teams
Commitment to inclusive workplace culture
Key Requirements
Bachelor's degree required; J.D. preferred
Series 7 and Series 63 licenses preferred
In-depth understanding of U.S. Auction process
Legal eligibility to work in the United States
Work Rights
Must be legally eligible to work at the location(s)