Senior Manager, Regulatory Supervision

CIBC

Ottawa, Ontario, Canada
Base: $92,490 to $115,000 annually; bonus: pyrtici...
Fully remote
Tier 1 supervision experience in financial services
Investment advisor and assistant supervision
Trading and account supervision expertise
This role is accountable for Tier 1 supervision within designated branches, ensuring adherence to industry regulations and ethical standards

Job Summary

  • This role is accountable for Tier 1 supervision within designated branches, ensuring adherence to industry regulations and ethical standards.
  • The position requires providing subject matter leadership and training to branch staff regarding sales supervision and regulatory compliance.
  • CIBC offers a competitive salary range, annual discretionary bonuses, and comprehensive benefits including a defined benefit pension plan.

Matching Summary

This role is accountable for Tier 1 supervision within designated branches, ensuring adherence to industry regulations and ethical standards.

Salary

Base: $92,490 to $115,000 annually; Bonus: Participation in annual discretionary incentive program; Benefits: Banking benefits, defined benefit pension plan, employee share purchase plan

Skills & Requirements

Must-have

  • Tier 1 supervision experience in financial services
  • Investment advisor and assistant supervision
  • Trading and account supervision expertise
  • Branch governance and compliance framework management
  • Adherence to industry regulations and ethics

Nice-to-have

  • Strong critical thinking and decision-making skills
  • Ability to inspire outcomes through relationships
  • Proactive initiative and ownership mindset
  • Commitment to operational excellence culture
  • Effective communication of compliance policies

Key Requirements

  • Current accreditation with Canadian Securities Course
  • Registration as an ID Supervisor with CIRO
  • Certification in Conduct and Practices Handbook
  • Derivative Fundamentals and Option Licensing Course completion
  • Investment Dealer Supervisors Course or equivalent
  • Legal eligibility to work in Canada

Work Rights

Must be legally eligible to work in Canada

Tailored Resume

Cover Letter