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”)
Job Summary
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”).
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.
At CIBC, your goals are a priority, and they strive to give you a career rather than just a paycheck, offering competitive compensation and benefits.
Matching Summary
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”).
Skills & Requirements
Must-have
Compliance with laws and regulations
Monitoring business activities
Reporting on adherence
Investigating compliance issues
Communication with regulators
Nice-to-have
Relationship-oriented banking
Embracing strengths and ambitions
Meaningful impact and value
Thrive in your role
Inspire outcomes through influence
Key Requirements
Minimum 5 years direct Compliance experience
Canadian Securities Course or equivalent
Understanding of investment dealer business processes