Manager, Regulatory Supervision
We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s 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 CIBC.com
What You’ll Be Doing
As the Manager, Regulatory Supervision, you will report to the Director, Sales Supervision and 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. Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview.
Please note, we welcome all canadidates within Canada as the location for this role is flexible.
How You’ll 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 CIBC’s vision and values, communicate, implement and educate employees on compliance policies & procedures.
Who You Are
- You are a bold and authentic leader. You're passionate about developing and coaching to bring out the best in people. You have led diverse, high performing teams.
- You act like an owner. You thrive when you're 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 what's possible.
- You’re a certified professional. You have current accreditation and good standing with the Canadian Securities Course; the Conduct and Practices Handbook; the Derivative Fundamentals Course and the Option Licensing Course; the Options Supervisory Course; the Partners, Director’s, Officers Course and the Branch Manager’s Course. You are also Registered as a Supervisor with IIROC.
- You can demonstrate experience in financial services and brokerage industry in a similar capacity
- Location: Branch location is flexible
- 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 health benefits program, defined benefit pension plan, an employee share purchase plan 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.
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 Mailbox.email@example.com
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
CIBC is committed to doing our part to protect our team, our clients and our communities. We want to ensure we have a safe and healthy workplace, and we want to do our part to get through this pandemic. In keeping with this commitment, and as a condition of employment, CIBC requires all successful candidates to be fully vaccinated against COVID-19 as of their start date, or provide written proof of a medical exemption, or other substantiated accommodation request under applicable human rights legislation.
Toronto-81 Bay, 10th Floor