Compliance Exams Manager Capital Markets Compliance
Compliance Exams Manager Capital Markets Compliance
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
$ 130000 - 160000
1 Vacancy
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
What Youll Be Doing
CIBC US provides tailored commercial and commercial real estate banking private wealth management personal and small business financial solutions as well as crossborder banking services to clients with North American operations.
At our core we are a relationship bank and strive to build trusting and enduring relationships by putting our clients at the center of all we do. We invest in our businesses our clients our people and our communities.
Our US headquarters is in Chicago and we have offices strategically located across the United States to serve clients coast to coast.
To be the bestinclass commercial and wealth management financial institution in the United States with seamless connectivity to our Capital Markets and Canadian Commercial & Wealth franchises.
Reporting to the Head of US Compliance Examination Program the Compliance Examination Specialist is accountable for of the US Compliance Examination Plan established to ensure the companys 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 in meeting regulatory compliance.
Areas of coverage include:
SEC registered investment advisor
OCC regulated trust company
SEC registered/FINRA member Broker Dealer
FDIC insured depository institution regulated by the Federal Reserve offering both consumer and commercial loans.
CFTC registered swap dealer and SEC registered securitybased swap dealer
How Youll Succeed
Assist with planning scoping and designing riskbased compliance examinations that address coverage of laws and regulations applicable CIBC Combined US region as well as adherence to internal policies and standards (regulatory obligations).
Executing riskbased compliance examinations and performs reviews and tests of stated objectives to evaluate the companys adherence to regulatory obligations.
Execute assigned compliance examinations in a timely manner in accordance with the annual Compliance Examination Program
Evaluate processes for key compliance controls and Assist with identifying control weaknesses and root causes of compliance deficiencies conduct preliminary research to support regulatory findings/control weaknesses and propose appropriate corrective action
Identify control weaknesses and root causes of compliance deficiencies conduct extensive research to support regulatory findings/control weaknesses and propose appropriate corrective action
Develop relationships with senior management and other key internal contacts including Management Committee members and their direct reports.
Prepare high quality workpapers that support the testing conclusions and adhere to department standards
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.
Collaborate with compliance partners and line of business management throughout the compliance testing process to ensure timely and transparent communication
Assist with other compliancerelated projects and tasks as requested
Research: Proactively develop an understanding through indepth research of US regulatory requirements and expectations.
Who You Are
Bachelors degree
Minimum 5 years of compliance and risk management experience.
Comprehensive knowledge of federally recognized examination procedures to evaluate compliance with related laws and regulations
Former role as a commissioned examiner or within internal audit a plus
A detailed approach with strong analytical skills to develop insights and interpret findings
Excellent crossfunctional project and relationship management skills
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 multitasking and prioritizing projects and excellent time management skills
#LITA
At CIBC we offer a competitive total rewards package. This role has an expected salary range of $130000$160000 for the New York New York market based on experience qualifications and location of the position. The successful candidate may be eligible to participate in the relevant business units incentive compensation plan which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employees 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.
California residents your privacy rights regarding your actual or prospective employment
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 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 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
NY300 Madison Ave. 6th FloorEmployment Type
RegularWeekly Hours
40Skills
Banking Quality Assurance Review Quality Investigations Regulations Regulatory Compliance Regulatory Requirements Risk Assessments Risk Compliance Strategic Objectives Time ManagementRequired Experience:
Manager
Employment Type
Full-Time
