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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 feel empowered at work. Our team members have what they need to make a meaningful impact and feel 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 the Manager, Regulatory Supervision, you will report to the Director, Sales Supervision and will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You will also recommend strategies to assist employees in reducing follow up with respect to supervisory related queries.
How You'll Succeed
Supervision - Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs). You will also be required to oversee trading and account supervision for the Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and more.
Account Opening & Documentation - Reviewing and approval of new accounts and account updates.
Governance and Controls - Effectively manage the overall governance and compliance framework for the branch. Providing support and/or responsible for items related to branch operational risk.
Operational Excellence - Create a culture of operational excellence, ensure adherence to the management of irregularities, Code of Conduct, compliance policies, reputation and legal risk policies and training requirements, role model CIBC's vision and values, communicate, implement and educate employees on compliance policies & procedures.
Who You Are
Values matter to you. You bring your real self to work and you live our values - trust, teamwork and accountability.
You are a bold and authentic leader. You're passionate about developing and coaching to bring out the best in people. You have led diverse, high performing teams.
You act like an owner. You thrive when you're empowered to take the lead, go above and beyond, and deliver results.
You look beyond the moment. You make decisions and take actions that will make a difference today and tomorrow. You proactively seek new opportunities to define what's possible.
You're a certified professional. You have current accreditation and good standing with the Canadian Securities Course; the Conduct and Practices Handbook; the Derivative Fundamentals Course and the Option Licensing Course; the Options Supervisory Course; the Partners, Director's, Officers Course and the Branch Manager's Course. You are also Registered as a Supervisor with IIROC.
You can demonstrate experience in financial services and brokerage industry in a similar capacity
Location: Branch location is flexible
What CIBC Offers
At CIBC, our people are our greatest asset. You'll become part of a diverse community that acknowledges everyone's unique talents, and empowers teams to do what's right for the client, and to do it well. As part of our team, you will:
Thrive: Benefit from an open and approachable culture that provides the flexibility and support you need to integrate your life at work and at home
Connect: Work in a place where the right technology and infrastructure fosters innovation, collaboration and creativity
Develop: Grow your skills and career through our best-in-class onboarding experience, ongoing learning opportunities, individual development planning, and comprehensive product training
Prosper: Share in our collective success with a competitive salary, incentive pay, banking benefits, health benefits program, and employee share purchase pla n
Location: Branch location is flexible
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 during the application or interview process, please contact Mailbox.firstname.lastname@example.org
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 18 York Street, 12th Floor Employment Type Regular Weekly Hours 37.5
Internal Number: 6544631
About CIBC - Canada
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