Senior Director, Global Markets Compliance (Canada)

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

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 Director, Global Markets (Canada) Compliance leads a team of Compliance professionals who are part of Capital Markets Compliance. They are responsible for providing timely and proactive advice to Global Markets personnel, as well as conducting independent oversight of compliance with applicable regulatory requirements. You will work closely with Global Markets management in the development, communication, implementation and ongoing maintenance of policies and procedures to promote compliance with such requirements. You will collaborate with other leaders to achieve goals, serve stakeholders, reduce and manage risk, protect reputation and achieve our collective mission.

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 3-5 days per week on-site, while other days will be remote. 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

• Leadership - manage, supervise, train and mentor Compliance associates to work together and achieve results. You're passionate about developing and coaching to bring out the best in people.
• Advisory – provide advice on strategy development/key decisions as well as specific transactions. Participate in an advisory capacity in business committees and working groups. Your expertise in market structure, gained from at least a decade of experience at a financial institution or regulator, will be used every day.
• Regulatory - act as a liaison between Global Markets and the securities regulatory bodies, including facilitating meetings and discussions on significant policy issues and assisting with the preparation of written submissions on new and changing regulatory requirements. Participate on industry committees and working groups to advise on and influence regulatory developments. Manage and oversee regulatory examinations or investigations by acting as the lead relationship manager. Your deep relationships and credibility in the regulatory community will be key to represent CIBC.
• Oversight - oversee and manage compliance monitoring and surveillance program for Global Markets, including updating the program based on regulatory changes and the results of internal or external examinations. Escalate significant compliance issues or material incidents of non compliance to the VP and Global Head of Capital Markets Compliance and Capital Markets management promptly including recommendations for corrective action. You notice things that others don't.
• Education - keep Global Markets (Canada) management informed regarding relevant changes to regulatory requirements or the regulatory environment, and advise them on appropriate changes to business models, practices, controls or processes required to comply. Deliver periodic training to Global Markets (Canada) staff on regulatory matters and firm policies and procedures. Your engaging presentations on Compliance and regulatory issues will be impactful.

Who You Are

• Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
• Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.
• You're passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
• You act like an owner. You thrive when you're empowered to take the lead, go above and beyond, and deliver results.
• You are a bold and accountable leader. You have experience developing and implementing strategic team goals. You have experience coaching employees and driving successful team performance.
• You are deeply knowledgeable and can demonstrate several years of progressive experience in regulations that govern sales and trading market structure issues across asset classes. You have experience with advisory, oversight and relationship management, supporting executive leaders and regulatory partners.

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.
• 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.
• 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.

What You Need To Know

• 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 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 during the application or interview process, please contact [email protected]

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 [email protected]
• 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., 5th

Employment Type

Regular

Weekly Hours

37.5

Skills

Advisory Services, Capital Markets, Compliance Frameworks, Global Financial Markets, Regulatory Compliance, Risk Compliance, Taking Initiative