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CIBC Compliance Examination Manager - Capital Markets in New York, New York

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 (https://www.cibc.com/en/about-cibc.html)

JOB PURPOSE

Compliance Examination Manager for Capital Markets/Broker-Dealer/Swap Dealer

Reporting to the Head of US Compliance Examination Program, the Compliance Examination Manager is accountable for execution of the US Compliance Examination Plan established to ensure the company’s compliance with state and federal laws and regulations. The position supports overall compliance through executing examinations designed to evaluate the design and effectiveness of business controls established to ensure adherence with US broker-dealer and US swap dealer requirements and compliance with federal and self-regulatory organization (SRO) rules and regulations.

KEY ACCOUNTABILITIES

  • Provide independent oversight of compliance with appliable laws, rules and regulations by the Capital Markets business unit within the US.

  • Plan, scope and design risk-based compliance examinations that adequately address coverage of laws and regulations applicable to CIBC World Markets Corp. as well as adherence to internal policies and standards (“regulatory obligations”)

  • Develop, perform and document risk-based test objectives to evaluate the company’s adherence to the regulatory obligations

  • Lead and execute assigned compliance examinations in a timely manner in accordance with the annual Compliance Examination Program

  • Evaluate processes for key compliance controls and develop strategies to ensure appropriate and effective testing of controls

  • Identify control weaknesses and root causes of compliance deficiencies, conduct extensive research to support regulatory findings/control weaknesses and propose appropriate corrective action

  • Review workpaper documentation of compliance examination staff to ensure the results support testing conclusions and adhere to department standards

  • Assess the adequacy of remediation activities, monitor through completion and escalate past-due item

  • Develop relationships with senior management and other key internal contacts, including Management Committee members and their direct reports.

  • Collaborate with compliance partners and line of business management throughout the compliance examination process to ensure timely and transparent communication.

  • Prepare Final Examination Reports to be presented to management, management committees and the Board of Directors that accurately, clearly and concisely present the issue identified to key stakeholders.

  • Provide guidance to the team in all phases of a compliance review as needed

  • Assist with preparation of periodic and ad-hoc reports for management, committee and Board of Directors

  • Assist with the development of the risk-based annual compliance examination plan

  • Assist with other compliance-related projects and tasks, as requested

Research:

  • Proactively develop an understanding, through in-depth research, of US regulatory requirements and expectations.

KNOWLEDGE AND SKILLS

  • Bachelor’s degree

  • Minimum 7+ years’ of compliance and risk management experience

  • Comprehensive knowledge of federally recognized examination procedures to evaluate compliance with related laws and regulations

  • Solid understanding of FINRA, SEC and NYSE rules and regulations and the inherent compliance issues facing broker-dealers

  • Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements

  • Former role as a commissioned securities examiner, or within internal audit a plus

  • Professional licenses and certifications desired (SIE, FINRA Series 7, CCOS or IACCP a plus)

  • A detailed approach with strong analytical skills to develop insights and interpret findings

  • Excellent cross-functional project and relationship management skills

  • Solid knowledge and understanding of our lines of business, products and operations to effectively provide oversight of high-quality business standards and business conduct

  • Inspires passion in our mission and values, shows great drive and commitment in helping others understand how their daily work contributes to our Firm’s mission

  • Demonstrated ability to communicate effectively with an emphasis on developing trust, influencing and demonstrating fairness

  • Excellent organizational and analytical skills and an ability to communicate clearly and professionally with all levels of an organization

  • Excellent written and verbal communications skills and effective interpersonal skills

  • Strong knowledge of Microsoft Office products (Word, Excel, PowerPoint)

  • Proficiency in multi-tasking and prioritizing projects and excellent time management skills

WORKING CONDITIONS

· This role operates within a normal office environment and is on site at our New York or Chicago office, with New York preferred

  • Travel required: Limited

CROSS-FUNCTIONAL RELATIONSHIPS

The role works closely with lines of business and members of the Compliance team to develop risk based examinations and identify deficiencies and risks in regulatory compliance.

At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $xxxx- $xxxx for the New York, NY market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component.

CIBC offers a full range of benefits and programs to meet our employee’s needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members.

Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process.

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

  • We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

  • Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

  • We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

  • CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

  • You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

Job Location

300 Madison Avenue

Employment Type

Regular

Weekly Hours

40

Skills

Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance, Risk Assessments, Strategic Advice

At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability.

Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel.

Every day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.

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