Senior Compliance Officer, Advanced Oversight, Investigations & Regulatory Response, Commercial Banking & Wealth Management Compliance

Job Description

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com What you’ll be doing As the Sr. Compliance Officer reporting to the Senior Manager, Advanced Oversight, Investigations & Regulatory Response (AOIRR), you will be responsible for conducting targeted, risk-based reviews to identify and address potential Anti-Money Laundering (AML) and securities conduct risks in higher-risk portfolios. You will provide risk-based oversight, conduct reviews, and perform internal investigations of securities registrants across all businesses supported by the Commercial Banking & Wealth Management Compliance (CBWMC) team, as required to meet CIBC’s supervisory obligations and risk management expectations. In this role, you’ll support Commercial Banking & Wealth Management (CBWM) and Personal and Business Banking (PBB) in their interactions with regulators—including the Canadian Investment Regulatory Organization (CIRO) and the member securities commissions of the Canadian Securities Administrators—regarding regulatory investigations, business conduct compliance examinations, and other regulatory inquiries and reviews. You will work closely with internal compliance and business partners to support each of CBWMC’s registered Chief Compliance Officers (CCOs), delivering on key regulatory accountabilities under the guidance of the Senior Manager, AOIRR, and Senior Director, AOIRR. At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote. How you’ll succeed Advanced Oversight & Investigations – Perform advanced oversight, monitoring and analysis to identify potential instances of material risk or conduct issues within CBWMC businesses; perform and coordinate internal reviews and investigations, relating to employee conduct and instances of potential non-compliance with internal or regulatory requirements, including complex and non-routine reviews in each of the various retail securities lines of business CBWMC supports in PBB, PWM, Telephone Banking and DFS. Regulatory Response – Facilitate proactive reporting of internal investigations, potential employee misconduct, instances of non-compliance and internal disciplinary action via METs, ComSet, Gatekeeper Report, or otherwise, as deemed necessary in accordance with regulatory requirements and expectations; assist in the management and response to regulatory investigations and examinations including responding to requests for information and liaising with regu

Required Skills