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Senior Compliance Officer, Asset Management – Investments and Trade Operations
CIBC USSenior Compliance Officer providing oversight on compliance for investment management activities at CIBC Asset Management. Advising on regulatory adherence, reporting, and compliance testing to support business goals.
About the role
Key responsibilities & impact- provide independent oversight of compliance with laws and regulations applicable to the investment fund manager and portfolio management/registered investment advisory business activities of CIBC Asset Management Inc. (CAMI)
- advise and report on the adherence to regulatory requirements, corporate policies, practices and ethics
- provide timely and proactive advice to help CAMI/CPIC fulfill their regulatory compliance responsibilities
- prepare annual compliance reviews and reporting
- assist in the design, establishment, and execution of regulatory compliance testing of CAMI/CPIC’s portfolio management/investment advisory business activities and identify key risk control gaps
Requirements
What you’ll need- demonstrated experience in a compliance, risk management, or legal in the investment or financial services industry
- experience within a Private Wealth Management division of a bank (asset)
- Bachelor’s Degree
- knowledge of the Canadian regulatory environment as it relates to Wealth Management
- CSC and have or are working towards a CFA, FRM accreditation/designation (asset)
- ability to communicate detailed information in an impactful and practical way
- critical thinking skills
Benefits
Comp & perks- competitive salary
- incentive pay
- banking benefits
- benefits program
- defined benefit pension plan
- employee share purchase plan
- vacation offering
- wellbeing support
- MomentMakers, our social, points-based recognition program
- Purpose Day; a paid day off dedicated for you to use to invest in your growth and development
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
compliance oversightregulatory compliancerisk managementregulatory compliance testingannual compliance reviewsreporting
Soft Skills
communicationcritical thinking
Certifications
CSCCFAFRM