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 the Director, Electronic Communications Oversight, you will play a key role in the leadership, development, and implementation of an enhanced Electronic Communication Oversight Program and Framework for all of CIBC’s Canadian broker-dealers including: CIBC Securities Inc., CIBC Investors Services Inc., and CIBC World Markets (limited to CIBC Wood Gundy). Initially, the role will work with a cross-functional team to conduct a strategic analysis of legislation and working with Legal or Compliance to translate this to an overall policy and framework. As a part of the implementation, the role will be required to build-out a tier-1 surveillance team, which will provide oversight, coaching, escalation, and application of the Electronic Communications Oversight Program. The role will then transition to a “business as usual function”, which will be leading the team of registered individuals responsible for supervision and oversight activities as it relates to electronic communications. 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 Project Management – Develop and implement an overall “Electronic Communications Oversight Framework” for all of CIBC’s Canadian broker-dealers. Analyze any new cross business or complex legislation and lead project(s) to implement processes. Influence change that may modify procedures while still achieving required regulatory requirements that meet CIBC’s compliance framework. Develop and manage regulatory requirements across all channels for consistency and process efficiencies. Ensure the proper business balance between controls and business effectiveness is obtained through implementation of innovation solutions. Work with external partners/suppliers (non CIBC) to ensure that their processes as it relates to CIBC customers also comply with regulatory requirements and CIBC expectations for control processes. People Leadership & Team Development – Provide coaching, escalation, support and leadership within PBB & CBWM relative to the newly established Electronic Communications Oversight Framework. Develop and sustain highly effective relationships at all levels of the organization. Manage key relationships with key internal stakeholders including within PBB, CBWM, Compliance, Privacy, Corporate Security, Information Security, etc. Monitor external environment (industry, professional associations) for changes in methodologies and tools, emerging trends, practices, regulations, government legislations that would improve the overall effectiveness of the team. Regulatory Supervision – Build and lead a tier-1 surveillance team which will monitor electronic communications as defined in the policy and framework that was built out. Provide advice and expertise on business initiatives that have significant impact to electronic communications processes or any special legislative initiatives to ensure proper processes, system controls are implemented to ensure compliance to specific legislations. This may involve developing and obtaining approval on strategy to address regulatory issues from various levels of management. Who you are You’re a certified professional. You have current accreditation and good standing in the Canadian Securities Course (CSC); Conduct and Practices Handbook (CPH); Investment Dealer Supervisory Course (IDSC); the Branch Managers Course (BMC). You are registered as a Supervisor with CIRO. You can demonstrate experience. Experience in investment oversight from Tier 1 perspective as it relates to CIRO in the financial services sector. Project management and delivery experience. People leadership experience leading a team. Experience building out a team is an asset. You can demonstrate knowledge. Strong understanding of regulatory requirements in the securities industry, especially related to electronic communications. Develop and apply advanced knowledge of CIBC internal and external regulatory risk requirements, policies, procedures and controls sufficient to ensure compliance You are a caring and accountable leader. You're passionate about developing and coaching to bring out the best in people. You have led diverse, high performing teams. Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by sharing your expertise. 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. #LI-TA 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. We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, French proficiency, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us. Job Location Toronto-81 Bay, 21st Floor Employment Type Regular Weekly Hours 37.5 Skills Accountability, Analytical Thinking, Leadership, People Management, Prioritization, Regulatory Compliance, Risk Management At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability. Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel. Every day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.
