Job Description
Lead the regulatory compliance team at CIBC as a Senior Manager in Regulatory Supervision. This role combines leadership with a hands-on approach in a flexible hybrid setup.
As the Senior Manager, you will oversee Tier 1 supervision across branches, ensuring all staff are supported in regulatory adherence. Your expertise will guide training efforts and enhance overall operational processes, ensuring best practices in compliance and conduct.
Key Responsibilities:
• Manage supervision of Investment Advisors and Assistants
• Approve account opening documents and updates
• Oversee branch governance and risk management
• Promote operational excellence within compliance policies
• Guide staff on CIBC’s values and regulatory frameworks
Requirements:
• Experience in financial services supervisory roles
• CIRO-ID Supervisor registration required
• Current accreditation with Canadian Securities Course
• Strong leadership and relationship-building capabilities<...
As the Senior Manager, you will oversee Tier 1 supervision across branches, ensuring all staff are supported in regulatory adherence. Your expertise will guide training efforts and enhance overall operational processes, ensuring best practices in compliance and conduct.
Key Responsibilities:
• Manage supervision of Investment Advisors and Assistants
• Approve account opening documents and updates
• Oversee branch governance and risk management
• Promote operational excellence within compliance policies
• Guide staff on CIBC’s values and regulatory frameworks
Requirements:
• Experience in financial services supervisory roles
• CIRO-ID Supervisor registration required
• Current accreditation with Canadian Securities Course
• Strong leadership and relationship-building capabilities<...