Base: $150,000-$180,000 for new york, ny market; b...
Strong knowledge of u.s. securities laws
Experience with u.s. treasury rules and regulations
Ability to interact with senior managers and regulators
The role is responsible for the implementation and oversight of CIBC's U.S. Fixed Income Compliance Program
Job Summary
The role is responsible for the implementation and oversight of CIBC's U.S. Fixed Income Compliance Program.
Candidates will provide subject matter expertise on U.S. securities laws, FINRA rules, and Department of Treasury regulations.
CIBC offers a competitive total rewards package including medical, dental, vision, life insurance, and a 401(k) plan.
Matching Summary
The role is responsible for the implementation and oversight of CIBC's U.S. Fixed Income Compliance Program.
Salary
Base: $150,000-$180,000 for New York, NY market; Bonus/Equity: Eligible for incentive compensation plan with discretionary bonus component; Benefits: Medical, Dental, Vision, HSA, Life Insurance, Disability, Paid Time Off, 401(k)
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
Proficiency in Microsoft Excel, PowerPoint, SharePoint, Word
Nice-to-have
Strong interpersonal and communication skills
Dedication to doing what's right for clients
Collaborative approach with cross-functional teams
Key Requirements
Bachelor's degree required; J.D. preferred
Series 7 and 63 licenses preferred
In-depth understanding of U.S. Auction process and requirements
Work Rights
Must be legally eligible to work at the location(s) specified