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Senior Manager, Regulatory Supervision
CIBC USSenior Manager responsible for Tier 1 supervision and regulatory compliance at CIBC. Leading branch staff in adherence to industry regulations and operational excellence practices.
About the role
Key responsibilities & impact- Report to the Director, Regulatory Supervision
- Accountable for Tier 1 supervision within designated branches
- Provide subject matter leadership and expertise to branch staff
- Ensure adherence to industry regulations and business ethics standards
- Recommend strategies to assist employees in supervisory related queries
- Oversee trading and account supervision for various reports
- Review and approve new accounts and updates
- Manage compliance framework for the branch
- Create a culture of operational excellence
Requirements
What you’ll need- Experience in Tier 1 supervision in financial services and brokerage industry
- Current accreditation with the Canadian Securities Course
- Good standing with the Conduct and Practices Handbook
- Accredited in the Derivative Fundamentals and Option Licensing Course
- Accredited in the Investment Dealer Supervisors Course
- Accredited in the Branch Managers Course
- Accredited in the Options Supervisory Course
- Registered as an ID Supervisor with CIRO
Benefits
Comp & perks- Competitive salary
- Incentive pay
- Banking benefits
- Benefits program*
- Defined benefit pension plan*
- Employee share purchase plan
- Vacation offering
- Wellbeing support
- MomentMakers recognition program
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Tier 1 supervisioncompliance frameworktrading supervisionaccount supervisionregulatory adherence
Soft Skills
leadershipexpertiseoperational excellencecommunicationstrategic recommendation
Certifications
Canadian Securities CourseConduct and Practices HandbookDerivative Fundamentals and Option Licensing CourseInvestment Dealer Supervisors CourseBranch Managers CourseOptions Supervisory CourseID Supervisor registration with CIRO