Compliance Exams Manager, Capital Markets Compliance

CIBC US; New York (NY); On-site; USD 130,000 - 160,000; Full time

Job summary

An established industry player seeks a Compliance Examination Manager to ensure adherence to regulatory obligations and enhance compliance processes. This pivotal role involves executing risk-based examinations, developing relationships with senior management, and preparing comprehensive reports for key stakeholders. The ideal candidate will have a strong background in compliance and risk management, with excellent analytical and communication skills. Join a forward-thinking organization that values your contributions and offers a competitive rewards package, including comprehensive benefits and opportunities for professional growth.

Benefits

Medical Insurance

Dental Insurance

Vision Insurance

401(k)

Paid Time Off

Disability Insurance

Life Insurance

Health Savings Account

Parental Leave

Vacation

Qualifications

• 5+ years of compliance and risk management experience.
• Comprehensive knowledge of examination procedures for compliance.

Responsibilities

• Assist with planning and executing compliance examinations.
• Evaluate processes for compliance controls and identify weaknesses.

Skills

Banking

Quality Assurance Review

Regulatory Compliance

Risk Assessments

Time Management

Education

Bachelor’s degree

Tools

Microsoft Office

Job description

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Join to apply for the Compliance Examination Manager role at CIBC US

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

CIBC US provides tailored commercial and commercial real estate banking, private wealth management, personal and small business financial solutions, as well as cross-border banking services, to clients with North American operations.

At our core, we are a relationship bank and strive to build trusting and enduring relationships by putting our clients at the center of all we do. We invest in our businesses, our clients, our people and our communities.

Our US headquarters is in Chicago – and we have offices strategically located across the United States to serve clients coast to coast.

To be the best-in-class, commercial and wealth management financial institution in the United States with seamless connectivity to our Capital Markets and Canadian Commercial & Wealth franchises.

Reporting to the Head of US Compliance Examination Program, the Compliance Examination Specialist is accountable for execution of the US Compliance Examination Plan established to ensure the company’s compliance with state and federal laws and regulations. The position supports overall compliance through executing examinations designed to evaluate the design and effectiveness of business controls in meeting regulatory compliance.

Areas of coverage include:

• SEC- registered investment advisor,
• OCC regulated trust company,
• SEC registered/FINRA member Broker Dealer,
• FDIC insured depository institution regulated by the Federal Reserve offering both consumer and commercial loans.
• CFTC registered swap dealer and SEC registered security-based swap dealer
  
  

How You’ll Succeed

• Assist with planning, scoping and designing risk-based compliance examinations that address coverage of laws and regulations applicable CIBC Combined US region as well as adherence to internal policies and standards (“regulatory obligations”).
• Executing risk-based compliance examinations and performs reviews and tests of stated objectives to evaluate the company’s adherence to regulatory obligations.
• Execute assigned compliance examinations in a timely manner in accordance with the annual Compliance Examination Program
• Evaluate processes for key compliance controls and Assist with identifying control weaknesses and root causes of compliance deficiencies, conduct preliminary research to support regulatory findings/control weaknesses and propose appropriate corrective action
• Identify control weaknesses and root causes of compliance deficiencies, conduct extensive research to support regulatory findings/control weaknesses and propose appropriate corrective action
• Develop relationships with senior management and other key internal contacts, including Management Committee members and their direct reports.
• Prepare high quality workpapers that support the testing conclusions and adhere to department standards
• Prepare Final Examination Reports to be presented to management, management committees and the Board of Directors that accurately, clearly and concisely present the issue identified to key stakeholders.
• Collaborate with compliance partners and line of business management throughout the compliance testing process to ensure timely and transparent communication
• Assist with other compliance-related projects and tasks, as requested
• Research: Proactively develop an understanding, through in-depth research, of US regulatory requirements and expectations.
  
  

Who You Are

• Bachelor’s degree
• Minimum 5+ years’ of compliance and risk management experience.
• Comprehensive knowledge of federally recognized examination procedures to evaluate compliance with related laws and regulations
• Former role as a commissioned examiner, or within internal audit a plus
• A detailed approach with strong analytical skills to develop insights and interpret findings
• Excellent cross-functional project and relationship management skills
• Ability to communicate effectively with an emphasis on developing trust, influencing and demonstrating fairness
• Excellent organizational and analytical skills and an ability to communicate clearly and professionally with all levels of an organization
• Excellent written and verbal communications skills and effective interpersonal skills
• Strong knowledge of Microsoft Office products (Word, Excel, Powerpoint)
• Proficiency in multi-tasking and prioritizing projects and excellent time management skills
  
  

At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $130,000-$160,000 for the New York, New York market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee’s needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members.

Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process.

California residents — your privacy rights regarding your actual or prospective employment

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 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]
• 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, 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

NY-300 Madison Ave., 6th Floor

Employment Type

Regular

Weekly Hours

40

Skills

Banking, Quality Assurance Review, Quality Investigations, Regulations, Regulatory Compliance, Regulatory Requirements, Risk Assessments, Risk Compliance, Strategic Objectives, Time Management

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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