Senior Compliance Officer, Private Wealth

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

The Senior Compliance Officer will be responsible for the pro-active and strategic implementation of compliance policies and processes at CIBC PWM including identification, resolution, and ongoing monitoring of compliance issues, fielding employee questions, assisting generally with the compliance department’s function as a second line of defense.

At CIBC we enable the work environment most optimal for you to thrive in your role. Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview.

How You’ll Succeed

• Review, analyze, and interpret issues related to compliance with the Investment Advisers Act of 1940, Investment Company Act of 1940, 12 CFR Part 9, and applicable OCC regulations and guidance.

• Primary Responsibility

  • Review of the trust company and registered investment adviser communications materials and in conjunction with the related policies and procedures.

• Secondary Responsibilities

  • Assist in all regulatory filings, such as the Form ADV, Form 13G, 13, F, 13H as directed by the CCO;

  • Prepare and submit annual Canadian Provincial exemptive filings.

  • Prepare internal reports for the CCO.

  • Perform daily email surveillance of assigned employee groups.

  • Participate in special projects including regulatory examinations and perform other duties as assigned.

  • Conduct testing as directed by the CCO of various 1A and 1B areas of focus.

Who You Are

• Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.

• You embrace and champion change. You'll continuously evolve your thinking and the way you work in order to deliver your best.

• Your influence makes an impact. You know that relationships and networks are essential to success.  You inspire outcomes by making yourself heard.

• You’re digitally savvy. You seek out innovative solutions and embrace evolving technologies. You can easily adapt to new tools and trends.

• You're driven by collective success. You know that collaboration can transform a good idea into a great one. You understand the power of an inclusive team that enjoys working together to create a shared vision.

• Strong working knowledge of OCC and FDIC regulations, the Investment Advisers Act of 1940 and the Investment Company Act of 1940.

• 5+ years investment adviser and/or trust company compliance experience.

• Excellent verbal and writing skills.

• Strong interpersonal skills in order to maintain working relationships with infrastructure support partners and front office personnel.

• Strong organizational skills, including the ability to prioritize and follow-up on key issues in a timely manner.

• Ability to work effectively in a team environment.

• Willingness to travel on occasion.

At CIBC, we offer a competitive total rewards package.  This role has an expected salary range of $150,000 - $165,000 for the New York, NY market based on experience, qualifications, and location of the position.  The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee’s needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members.

Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process.

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