Senior Manager, Regulatory Supervision
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Job Location:
Monthly Salary:
Posted on:
Yesterday
Vacancies:
1 Vacancy
Job Summary
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 Senior Manager Regulatory Supervision reporting to the Director Regulatory Supervision you will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide leadership expertise guidance support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You will also recommend strategies to assist employees in reducing follow up with respect to supervisory related queries.
At CIBC we enable the work environment most optimal for you to thrive in your 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
Supervision Supervision of New Investment Advisors (RRs) or Assistants (IRs) Investment Advisors (RRs) or Assistants (IRs). You will also be required to oversee trading and account supervision for the Daily Commission Run Review Universal Market Integrity Rules Review Monthly Statement Reviews FATCA Remediation Reports and more.
Account Opening & Documentation Reviewing and approval of new accounts and account updates.
Governance and Controls Effectively manage the overall governance and compliance framework for the branch. Providing support and/or responsible for items related to branch operational risk.
Operational Excellence Create a culture of operational excellence ensure adherence to the management of irregularities Code of Conduct compliance policies reputation and legal risk policies and training requirements role model CIBCs vision and values communicate implement and educate employees on compliance policies & procedures.
Who you are
You can demonstrate experience. In Tier 1 supervision and/or in financial services and brokerage industry in a similar capacity.
Youre a certified professional. You are registered as CIRO-ID Supervisor. You have current accreditation and good standing with the Canadian Securities Course (CSC); the Conduct and Practices Handbook (CPH); the Derivative Fundamentals and the Option Licensing Course (DFOL); Options Supervisors Course (OPSC). Completion of the Branch Managers Course (BMC) and/or Investment Dealer Supervisors Course (IDSC).
Youre passionate about people. You find meaning in relationships and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
You act like an owner. You thrive when youre empowered to take the lead go above and beyond and deliver results.
You look beyond the moment. You make decisions and take actions that will make a difference today and tomorrow. You proactively seek new opportunities to define whats possible.
Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
You understand that details matter. You notice things that others dont. Your critical thinking skills help to inform your decision making.
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
CIBC is committed to clarity in our hiring process. All roles posted are opportunities were actively recruiting for unless stated otherwise.
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 test (such as simulation coding French proficiency).
We use artificial intelligence tools during the recruitment process. 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
500 Centre Street SEEmployment Type
RegularWeekly Hours
37.5Skills
Business Controlling Client Service Compliance Monitoring Group Problem Solving Project Management Regulatory Requirements Risk Management Assessment Work CollaborativelyRequired Experience:
Senior Manager
Key Skills
- Proofreading
- Adobe Acrobat
- FDA Regulations
- Manufacturing & Controls
- Biotechnology
- Clinical Trials
- Research & Development
- GLP
- cGMP
- Product Development
- Chemistry
- Writing Skills
