[Hiring] Senior Manager, Regulatory Supervision @CIBC

Role Description

As the Senior Manager, Regulatory Supervision, reporting to the Director, Regulatory Supervision, you will be accountable for managing and executing Tier I regulatory supervision for a defined portfolio of Private Banking and CIBC Private Investment Counsel (CPIC) registered branches and registrants. You will be the accountable CIRO Supervisor for Private Banking, and Branch Manager Delegate for CPIC in accordance with CSA regulations as Portfolio Manager/Advisor. You will ensure strict adherence to all applicable regulatory requirements; provide leadership, expertise, guidance and support on regulatory supervision, sales practices, client onboarding, AML, and other compliance activities, while recommending strategies to support business growth and enhance supervisory efficiency. You will foster a culture of integrity and support employees in navigating regulatory requirements.

Please note: This role can be performed from anywhere in Canada.

At CIBC we enable the work environment most optimal for you to thrive in your role. You can effectively perform all work activities remotely, and will only be required to be on-site on an occasional basis.

How you’ll succeed

• Regulatory Oversight and Supervision:
  • Accountable CIRO Supervisor for Private Banking branches and registrants and CPIC Branch Manager Delegate for CPIC branches and registrants under CSA requirements.
  • Review and approve all new discretionary investment management client accounts prior to account opening.
  • Manage and oversee the ongoing supervision of registrants, including registration and maintenance of client accounts.
  • Ensure compliance with AML, FATCA, CRS, and other regulatory obligations.
  • Manage complaint handling, outgoing regulatory correspondence, and related supervisory escalations.
• Risk Management, Audit and Remediation:
  • Lead audit readiness and coordinate deliverables for internal and external examinations.
  • Serve as the primary business contact during audit fieldwork.
  • Strengthen risk management and control frameworks to enhance oversight and improve efficiency.
• Regulatory Advisory and Business Partnership:
  • Serve as the primary regulatory and risk advisor to Private Wealth lines of business.
  • Provide leadership, strategic solutions, guidance, coaching, and escalation support.
  • Communicate regulatory developments and facilitate learning.
  • Advise senior leadership on significant regulatory, risk, and ethical matters.

Qualifications

• You are registered as a CIRO-ID Supervisor and maintain current accreditation and good standing in the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), and Branch Managers Course (BMC).
• You have experience in Tier I supervision and/or the financial services or brokerage industry in a similar capacity.
• You demonstrate knowledge of CIBC internal policies, procedures, and controls, as well as external regulatory requirements.
• You are passionate about coaching and developing others to bring out their best.
• You consistently look for opportunities to improve how work is delivered across teams and functions.
• You thrive when empowered to take initiative, go above and beyond, and deliver strong results.

Benefits

• Competitive salary and incentive pay.
• Banking benefits and a benefits program.
• Defined benefit pension plan.
• Employee share purchase plan.
• Vacation offering and wellbeing support.
• MomentMakers, our social, points-based recognition program.
• Purpose Day; a paid day off dedicated for personal growth and development.

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 provide an accessible candidate experience.
• You need to be legally eligible to work at the specified location(s).
• We may ask you to complete an attribute-based assessment and other skills tests.
• We use artificial intelligence tools during the recruitment process.

Job Location

Toronto-81 Bay, 21st Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

• Business Controlling
• Client Service
• Compliance Monitoring
• Group Problem Solving
• Project Management
• Regulatory Requirements
• Risk Management Assessment
• Work Collaboratively