Sr. Processor, Regulatory Registrations
Sr. Processor, Regulatory Registrations
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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
The Sr. Processor will be a member of the team reporting to the Senior Sr. Processor will be accountable for providing new and renewal regulatory registration and licensing of CIBC Advisors and Agents with various Regulators related to the Mutual Fund Securities various investment products and Life Insurance Industries. Periodically you will collaborate with your team members and business partners to support business changes resulting in high volumes. Your role will involve developing registration and licensing expertise to provide exceptional service to your CIBC client groups. Using exceptional attention to detail strong organizational skills written and verbal communication skills and relationship building you will ensure that Regulatory Registration and Licensing documentation is complete and accurate and timely.
At CIBC we enable the work environment most optimal for you to thrive in your role. You can effectively perform all work activities remotely and will only be required to be on-site on an occasional basis (2 days per month).
How Youll Succeed
- Attention to detail - You will have the ability to process moderate to high volumes especially detailed information with high levels of accuracy under pressure in a challenging and changing environment. This includes ensuring that each regulatory registration request received is entered and recorded into the Registrations Request Log and Tracking List while engaging in our core principals of timeliness accuracy and completeness when updating internal registration/licensing records Tracking sheets Logs and Databases and execute systematic analytical thinking.
- Analytical skills- Analytics in systematic computational analysis of data or statistics. Ability to review and interpret policies rules regulations procedures.
- Core Competencies that are an Asset - Analytics in systematic computational analysis of data or statistics. Ability to review and interpret policies rules regulations procedures.
English (reading and writing)
French (Bilingual) (reading and writing)
Managing Multiple Priorities - Help simplify our processes and improve the client and partner experience through the generation and implementation of continuous improvement ideas. You will also have the ability to manage multiple tasks at one time prioritizing your day to day tasks in a timely manner managing to meet all of our service and delivery deadlines. This includes supporting CIBC employees Branches and entities to ensure that they are properly registered/licensed with the Regulator(s) and that the National Registration Database (NRD) records are accurate and up-to-date.
- Service Excellence - You will assist and guide business management risk/control oversight functions including other Compliance groups in the overall registrations/licensing process by acting as a subject matter and procedural expert communicating both proactively and in response to enquiries including providing information such as regulatory requirements and procedures changes to those requirements and procedures and any breaches and resulting allocation of penalties.
- Teamwork Excellent Team player who is always willing to help others and contribute towards building a culture of simplifying processes and being client focused. Taking ownership of work to ensure that it is completed to enable a successful outcome. Continuing education of CIRO Investment Dealer and CIRO Mutual Fund Dealer and Life Insurance Councils regulations to maintain subject matter expertise by being knowledgeable of any amendments to the regulations.
Who You Are
- You put our clients first. You engage with purpose to find the right solutions. You go the extra mile because its the right thing to do.
- You act like an owner. You thrive as you are empowered to be a leader in your role to go above and beyond and deliver effective results.
- Youre driven to succeed. You are motivated by accomplishing your goals and delivering your best to make a positive difference every day.
- You love to learn. Youre passionate about growing your knowledge knowing that there is no limit to what you can achieve.
- You embrace and champion change. Youll continuously evolve your thinking and the way you work in order to deliver your best. You will embrace change and become a champion of change to improve processes enhancing the client/partner service and experience.
- 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 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 31st FloorEmployment Type
RegularWeekly Hours
37.5Skills
Accountability Business Client Service Communication Customer Experience (CX) Document Processing Operations Management Resiliency Strategic Licensing Work CollaborativelyRequired Experience:
Senior IC
Employment Type
Full-Time
