Surveillance and Governance Compliance Officer

at  CIBC

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 a Surveillance and Governance Compliance Officer, you will be reporting to the Director, Centralized Applications, Automation, and Governance and support (i) monitoring and testing activities for Capital Markets Compliance (CMC), (ii) CMC’s regulatory compliance management process including risk assessing applicable regulatory requirements against existing business activity, and (iii) input on CMC’s strategic initiatives related to regulatory requirements and the effective operation of the program. You will play a critical role in contributing to maintaining the integrity of our business operations by overseeing and enhancing our applications and tools used in our oversight and monitoring activities on a global scale.
At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote.

How you’ll succeed

• Regulatory Compliance Management (RCM) and Risk Assessment - Maintain a thorough RCM library of regulatory requirements applicable to the Capital Markets business as per CIBC’s Regulatory Compliance Management Policy and related procedures. Conduct risk assessments of applicable regulatory requirements, identify the business units subject to these regulatory requirements and work with those business units and other members of the Compliance team to identify and design, document and map key RCM controls, policies.
• Managing CMC Technology Applications - Assist with the administration of technology solutions utilized by CMC to meet its regulatory obligations in the relevant jurisdictions.
• Cross-Functional Relationships - Collaborate with vendors, Risk Management and Technology Teams to ensure the successful management of technology releases, enhancements, defects, and production issues for CMC’s technology solutions.
• Surveillance Governance - Oversee the maintenance, and policy adherence for Business Managed Technologies (BMTs) and process automations.
• Strategic Initiatives - Provide advice to the trade surveillance teams on optimizing use of applications and technology for monitoring purposes.

Who you are

• You can demonstrate experience in management reporting. You possess strong written and verbal communication skills. You’re proficient in using PowerPoint and Excel. You have a Proven track record of developing KPIs and KRIs. It’s an asset if you have project management experience.
• It’s an asset if you have prior surveillance or compliance experience.
• Your influence makes a difference. You know that relationships and networks are essential to success.
• You look beyond the moment. You know what you do will make a difference today and tomorrow. You look for new opportunities to define what’s possible.
• You give meaning to data. You enjoy investigating complex problems and making sense of information. You communicate detailed information in a meaningful way.
• 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

Mailbox.careers-carrieres@cibc.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.

Job Location
Toronto-161 Bay St., 10th
Employment Type
Regular
Weekly Hours
37.5
Skills
Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance, Risk Assessments, Strategic Advic

Please refer the Job description for details