Director Equity-Derivatives Compliance Advisor
Director Equity-Derivatives Compliance Advisor
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Job Description
Were building a relationshiporiented bank for the modern world. We need talented passionate professionals who are dedicated to doing whats 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
What youll be doing
The Director is charged with providing highly specialized advice and guidance on regulatory requirements applicable to the business lines and working closely with business management in the development communication implementation and ongoing maintenance of policies and procedures to promote compliance with such requirements. The Director must be highly responsive in a business environment where decisions have to be made in stressful time sensitive situations and where information is often ambiguous and incomplete. The role is also expected to keep abreast of developments in an everchanging regulatory environment and their impact on the business
At CIBC we enable the work environment most optimal for you to thrive in your role. Youll have the flexibility to manage your work activities within a hybrid work arrangement where youll spend 13 days per week onsite while other days will be remote.
How youll succeed
- Sales and Trading Practice Welldeveloped knowledge of sales and trading practices and market structure issues gained at an investment dealer regulator or marketplace. Provide timely advice and guidance to trading floor personnel and Capital Markets management on transactional issues;
- Regulatory Requirements Monitor new and changing regulatory requirements on a timely basis and assessing their potential impact. Keep Capital Markets management informed regarding relevant changes to regulatory requirements or the regulatory environment. Assist Capital Markets management with the preparation of written submissions on new and changing regulatory requirements with emphasis on listed equity and derivatives. Assess and assist in the development of new products and services including recommendation of any new procedures to address regulatory risk.
- Stakeholder Management Act as the deputy/designate for the Senior Director Capital Markets Compliance in their absence in all matters relating to Capital Markets. Escalate significant compliance issues or material incidents of non compliance to the Senior Director Capital Markets Compliance and Capital Markets management promptly including recommendations for corrective action. Assist with compliance monitoring program for Capital Markets activity including updating the program based on regulatory changes and the results of internal or external examinations. Deliver periodic training to Capital Markets staff members on regulatory matters and firm policies and procedures.
- Regulatory Examinations Manage or facilitate regulatory examinations or investigations including formulating responses and developing and implementing appropriate corrective action plans where deficiencies are identified . Manage regulatory inquiries including overseeing the compilation of information and reviewing and approving the response. Conduct internal examinations and investigations. Establish and maintain relationships with industry colleagues and regulatory organizations;
Who you are
- You have working experience. And knowledge of equity and derivatives and sales and trading practices gained at an investment dealer regulator or marketplace. Knowledge of Canadian Investment Industry Regulatory Organization Universal Market Integrity Rules (UMIR) and Dealer Member Rules. Knowledge of provincial securities acts regulations and national instruments related to distribution sales and trading.
- You love to learn. Youre passionate about growing your knowledge and developing your skills and you know that there is no limit to what you can achieve.
- Youre driven to succeed. You are motivated by accomplishing your goals and delivering your best to make an impact.
- You understand that success is in the details. You notice things that others dont. Your critical thinking skills help to inform your decision making.
- You give meaning to data. You enjoy investigating complex problems and making sense of information through data analysis understanding data patterns and trends as well as resolving and troubleshooting data integrity. Youre confident in your ability to communicate detailed information in an impactful way.
- Values matter to you. You bring your real self to work and you live our values trust teamwork and accountability.
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* defined benefit pension plan* an employee share purchase plan a vacation offering wellbeing support and MomentMakers our social pointsbased 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
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.
We may ask you to complete an attributebased assessment and other skills tests (such as simulation coding French proficiency MS Office). Our goal for the application process is to get to know more about you all that you have to offer and give you the opportunity to learn more about us.
Job Location
Toronto161 Bay St. 10thEmployment Type
RegularWeekly Hours
37.5Skills
Capital Markets Regulatory Compliance Regulatory RiskRequired Experience:
Director
Employment Type
Full-Time
