Compliance Exams Manager, Capital Markets Compliance

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

Job summary

An established industry player is seeking a Compliance Exams Manager to lead compliance examinations and ensure adherence to regulations. This role involves planning and executing risk-based examinations, collaborating with management, and preparing detailed reports. The ideal candidate will have a strong background in compliance and risk management, with excellent analytical and communication skills. Join a forward-thinking bank that values diversity and empowers its employees to make a meaningful impact in the financial sector.

Benefits

Medical insurance

Dental insurance

Vision insurance

401(k) plan

Qualifications

• 5+ years of compliance and risk management experience.
• Knowledge of examination procedures for compliance evaluation.

Responsibilities

• Assist with planning and executing risk-based compliance examinations.
• Identify control weaknesses and propose corrective actions.

Skills

Banking

Compliance

Regulations

Risk Management

Time Management

Education

Bachelor's degree

Tools

Microsoft Office

Job description

Compliance Exams Manager, Capital Markets Compliance

Apply locations

New York, NY

Time type

Full time

Posted on

Posted 3 Days Ago

End Date

May 19, 2025 (22 days left to apply)

Job requisition id

2509793

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 real estate banking, private wealth management, personal and small business financial solutions, and cross-border banking services to clients with North American operations.

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

Our US headquarters is in Chicago, with offices across the US to serve clients coast to coast.

The goal is to be the best-in-class financial institution with seamless connectivity to our Capital Markets and Canadian franchises.

Reporting to the Head of US Compliance Examination Program, the Compliance Examination Specialist executes the US Compliance Examination Plan to ensure adherence to state and federal laws and regulations. The role supports compliance through examinations that evaluate business controls for regulatory compliance.

Areas of coverage include:

• SEC-registered investment advisor
• OCC regulated trust company
• SEC registered/FINRA member Broker Dealer
• FDIC insured depository institution
• 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.
• Execute examinations, review, and test compliance controls.
• Complete examinations timely as per the annual plan.
• Identify control weaknesses, conduct research, and propose corrective actions.
• Develop relationships with senior management and key contacts.
• Prepare workpapers and final examination reports.
• Collaborate with compliance partners and management throughout testing.
• Support other compliance projects and research US regulatory requirements.

Who You Are

• Bachelor’s degree
• Minimum 5+ years’ compliance and risk management experience
• Knowledge of examination procedures for compliance evaluation
• Experience as a commissioned examiner or in internal audit is a plus
• Strong analytical, organizational, and communication skills
• Proficiency in Microsoft Office
• Ability to multi-task and prioritize effectively

Salary range: $130,000-$160,000 based on experience and location. Benefits include medical, dental, vision, 401(k), and others.

Additional Information

We value diversity and inclusion. For accommodations, contact [e-mail].

You must be eligible to work in the specified location and may need to complete assessments during the hiring process.

Job Location

NY-300 Madison Ave., 6th Floor

Employment Type

Regular

Weekly Hours

40

Skills

Banking, Compliance, Regulations, Risk Management, Time Management