Director, Electronic Communications Oversight
Director, Electronic Communications Oversight
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Job Description
Were building a relationship-oriented 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
As the Director Electronic Communications Oversight you will play a key role in the leadership development and implementation of an enhanced Electronic Communication Oversight Program and Framework for all of CIBCs Canadian broker-dealers including: CIBC Securities Inc. CIBC Investors Services Inc. and CIBC World Markets (limited to CIBC Wood Gundy). Initially the role will work with a cross-functional team to conduct a strategic analysis of legislation and working with Legal or Compliance to translate this to an overall policy and framework. As a part of the implementation the role will be required to build-out a tier-1 surveillance team which will provide oversight coaching escalation and application of the Electronic Communications Oversight Program. The role will then transition to a business as usual function which will be leading the team of registered individuals responsible for supervision and oversight activities as it relates to electronic communications.
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 1-3 days per week on-site while other days will be remote.
How youll succeed
Project Management Develop and implement an overall Electronic Communications Oversight Framework for all of CIBCs Canadian broker-dealers. Analyze any new cross business or complex legislation and lead project(s) to implement processes. Influence change that may modify procedures while still achieving required regulatory requirements that meet CIBCs compliance framework. Develop and manage regulatory requirements across all channels for consistency and process the proper business balance between controls and business effectiveness is obtained through implementation of innovation solutions. Work with external partners/suppliers (non CIBC) to ensure that their processes as it relates to CIBC customers also comply with regulatory requirements and CIBC expectations for control processes.
People Leadership & Team Development Provide coaching escalation support and leadership within PBB & CBWM relative to the newly established Electronic Communications Oversight Framework. Develop and sustain highly effective relationships at all levels of the organization. Manage key relationships with key internal stakeholders including within PBB CBWM Compliance Privacy Corporate Security Information Security etc. Monitor external environment (industry professional associations) for changes in methodologies and tools emerging trends practices regulations government legislations that would improve the overall effectiveness of the team.
Regulatory Supervision Build and lead a tier-1 surveillance team which will monitor electronic communications as defined in the policy and framework that was built advice and expertise on business initiatives that have significant impact to electronic communications processes or any special legislative initiatives to ensure proper processes system controls are implemented to ensure compliance to specific may involve developing and obtaining approval on strategy to address regulatory issues from various levels of management.
Who you are
Youre a certified professional. You have current accreditation and good standing in the Canadian Securities Course (CSC); Conduct and Practices Handbook (CPH); Investment Dealer Supervisory Course (IDSC); the Branch Managers Course (BMC). You are registered as a Supervisor with CIRO.
You can demonstrate experience. Experience in investment oversight from Tier 1 perspective as it relates to CIRO in the financial services sector. Project management and delivery experience. People leadership experience leading a team. Experience building out a team is an asset.
You can demonstrate knowledge. Strong understanding of regulatory requirements in the securities industry especially related to electronic communications. Develop and apply advanced knowledge of CIBC internal and external regulatory risk requirements policies procedures and controls sufficient to ensure compliance
You are a caring and accountable leader. Youre passionate about developing and coaching to bring out the best in people. You have led diverse high performing teams.
Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by sharing your expertise.
You give meaning to data. You enjoy investigating complex problems and making sense of information. You communicate detailed information in a meaningful way.
Values matter to you. You bring your real self to work and you live our values trust teamwork and accountability.
#LI-TA
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 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
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 attribute-based 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
Toronto-81 Bay 21st FloorEmployment Type
RegularWeekly Hours
37.5Skills
Accountability Analytical Thinking Leadership People Management Prioritization Regulatory Compliance Risk ManagementRequired Experience:
Director
Employment Type
Full-Time
