Provide independent oversight of compliance with laws and regulations applicable to CIBC Wood Gundy and CIBC Investor Services Inc. lines of business regulated by CIRO
Job Summary
Provide independent oversight of compliance with laws and regulations applicable to CIBC Wood Gundy and CIBC Investor Services Inc. lines of business regulated by CIRO.
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.
CIBC offers a competitive salary, incentive pay, banking benefits, a benefits program, defined benefit pension plan, employee share purchase plan, vacation offering, wellbeing support, and MomentMakers.
Matching Summary
Provide independent oversight of compliance with laws and regulations applicable to CIBC Wood Gundy and CIBC Investor Services Inc. lines of business regulated by CIRO.
Skills & Requirements
Must-have
CIBC Commercial Banking and Wealth Management
CIBC Wood Gundy and ISI
Monitoring trading and business activity
Assessing regulatory non-compliance
Communicating with internal partners and regulators
Nice-to-have
Relationship-oriented bank
Embrace strengths and ambitions
Meaningful impact and valued
Thrive in your role
Inspire outcomes and build credibility
Key Requirements
Minimum 5 years direct Compliance experience
Relevant investment industry experience
Understanding of full-service investment dealer firm