Officer, Regulatory Supervision

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 an Officer Regulatory Supervision you will report to the Director Regulatory Supervision and will be accountable to ensure that an effective governance and control environment is in place within their designated branches by monitoring and advising on trade activity to ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You must fully understand all trade and account supervision requirements and ensure adherence to both internal and external timeframes and standards. You will support and assist the registered Supervisor(s) in the ongoing supervision of regulatory and compliance activities (daily monthly and periodic) of the branch.

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.

The expected annualized base salary range for this role is $66090 to $85000.

The base salary is determined by a variety of factors including the candidates skills experience and job-related knowledge as well as geographic location and specific business needs. Our compensation philosophy supports ongoing growth and development enabling progression within the salary range as team members advance in their roles.

In addition to base pay compensation for this roleincludes participation in an annual discretionary incentive orbonus program.

We are committed to providing fair equitable and competitive compensation opportunities for all employees and we encourage open conversations about compensation throughout the recruitment process.

How youll succeed

• Trading and Account Supervision Support and assist Managers with the review activities related to Trading and Accounts such as; Daily Commission Run (including Options) Universal Market Integrity Rules Monthly Statement (Pros and Clients) Monthly Activity Portfolio Partner Quarterly Activity Simple Discretionary Accounts CRM Sample Testing Leveraged and Inverse Leveraged ETFs Insurance Large Case Reviews and Inforce Policy Individual Pension Plans etc.

• Account Opening and Documentation Support and assist the Managers with the review of new accounts (including short options) account updates etc.

• Communications Support and assist the Managers with outgoing correspondence (including email fax etc.) and marketing.

• Manage Complaints Support the resolution of Service Complaints and Sales Practice Complaints.

Who you are

• Youre a certified professional. You have successfully completed the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH). Other associated CIRO registrations/courses are considered assets i.e. Branch Managers Course and Options Supervision Course etc.

• You can demonstrate experience. In financial services and brokerage industry in a similar capacity. You are knowledgeable in policies and procedures related to trade execution. Or you have well-developed knowledge of CIBC internal and external regulatory risk requirements procedures and controls sufficient to ensure compliance. Solid understanding of the CIBC Wood Gundy business along with the regulatory and compliance environment surrounding the branch network.

• Youre passionate about people. You find meaning in relationships and surround yourself with a diverse network of partners. You connect with others through respect and authenticity. You have effective interpersonal skills to provide coaching and feedback to Branch Managers Investment Advisors etc. You are able to effectively communicate and convey potential risk situations and implications and provide training to branch staff.

• 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.

• Youre goal oriented. Youre motivated by accomplishing your goals and delivering your best to make a difference. You have effective time management skills sufficient to schedule organize and complete work within established timeframes while accommodating priorities.

• 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

Employment Type

Weekly Hours

Skills