Senior Compliance Officer, Asset Management: Investments and Trade Operations - Bilingual

Canadian Imperial Bank of Commerce; Montreal; Hybrid; CAD 75,000 - 95,000; Full time

Job summary

A leading financial institution in Montreal seeks a Senior Compliance Officer to oversee regulatory compliance in investment management. This role entails providing independent oversight, advising on compliance responsibilities, and preparing compliance reviews. Candidates should possess expertise in regulatory frameworks and be bilingual in French and English. The position offers a flexible hybrid work model with 1-3 days on-site, along with a competitive compensation package including benefits and well-being support.

Benefits

Competitive salary

Defined benefit pension plan

Employee share purchase plan

Vacation offering

Wellbeing support

Qualifications

• Demonstrated experience in a compliance, risk management, or legal role in the financial services industry.
• Knowledge of the Canadian regulatory environment related to Wealth Management.
• Fluency in French and English.

Responsibilities

• Provide oversight of compliance with applicable laws and regulations.
• Advise on regulatory compliance responsibilities and prepare compliance reviews.
• Communicate effectively with internal partners and regulators.

Skills

Compliance Reporting

Compliance Testing

Decision Making

Regulatory Compliance

Risk Assessments

Strategic Advice

Education

Bachelor's Degree

Tools

Microsoft Office Suite

Job description

What you’ll be doing

As a member of the Commercial Banking and Wealth Management Compliance (CBWMC) team, the Senior Compliance Officer, Asset Management: Investments and Trade Operations - Bilingual will 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), including its CIBC Private Investment Counsel (CPIC) line of business. As a Senior Compliance Officer reporting to the Chief Compliance Officer for CAMI/CPIC, you will advise and report on the adherence to applicable regulatory requirements, corporate policies, practices and acceptable standards of business, ethics and conduct under relevant laws. You will provide timely and proactive advice to help CAMI/CPIC and their leaders fulfill their regulatory compliance responsibilities and achieve their business goals including the preparation of annual compliance reviews and reporting. You will also assist in the design, establishment, and advise on the execution of regulatory compliance testing of CAMI/CPIC’s portfolio management/investment advisory business activities and identify key risk control gaps and deficiencies.

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

• Communication – Communicate effectively with internal partners and regulators. Clearly explain regulatory expectations and necessary changes to business unit procedures or controls to address adherence to Canadian securities regulations.

• Independently challenge – Follow up on questionable business conduct or regulatory non‑compliance items or activities, assess impact and determine courses of action required, including escalations.

• Active participation – Staying abreast of industry‑wide regulatory and compliance developments, trends, and best practices, at both the federal and provincial/state level and suggesting methods for implementing changes as necessary.

• Relationship building – Partner with the business to achieve outcomes which protect our clients and our bank.

Who you are

• You have demonstrated experience in a compliance, risk management, or legal role in the investment or financial services industry. It’s an asset if you have experience within a Private Wealth Management division of a bank.

• You have a Bachelor’s Degree and knowledge of the Canadian regulatory environment as it relates to Wealth Management. It’s an asset if you have the CSC and have or are working towards a CFA, FRM accreditation/designation.

• You have proficiency with Microsoft Office Suite.

• You give meaning to data. You enjoy investigating complex problems, and making sense of information. You’re confident in your ability to communicate detailed information in an impactful and practical way.

• You know that details matter. You notice things that others don’t. Your critical thinking skills help to inform your decision making.

• You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it’s the right thing to do.

• Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.

• You’re fluent in French and English to support business operations outside of Quebec, Canada.

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, a 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 [e-mail]

• CIBC is committed to clarity in our hiring process. All roles posted are opportunities we’re actively recruiting for, unless stated otherwise.

• 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 test (such as simulation, coding, French proficiency).

• We use artificial intelligence tools during the recruitment process. 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

Mont‑1155 Rene Levesque O‑1125

Employment Type

Regular

Weekly Hours

37.5

Skills

Compliance Reporting, Compliance Testing, Decision Making, Regulatory Compliance, Risk Assessments, Strategic Advice