Cibc
Financial Services
SeniorComplianceOfficer,CPICCompliance
Neural analysis suggests this role is
optimal for Senior candidates.
“Senior Compliance Officer, CPIC Compliance at Cibc. Skills: Regulatory Compliance, Risk Management, Asset Management, Compliance Program. Support independent oversight of compliance. Monitor regulatory obligations”
Industry & Context.
Problem-solving skills
What They're Looking For.
Must Have
University degree, 5-10 years experience in financial services, 5-10 years experience in asset management, 5-10 years experience in compliance, Experience in compliance, Experience in risk management, Experience in legal within investment industry, Experience in legal within financial services industry, Knowledge of Canadian regulatory environment
Nice to Have
Experience in Private Wealth Management, Industry investment courses, Compliance courses, Finance-related courses
What You'll Do.
Support independent oversight of compliance
Monitor regulatory obligations
Advise on regulatory requirements
Report on regulatory requirements
Advise on business requirements
Report on business requirements
Advise on corporate policies
Report on corporate policies
Advise on standards of business ethics
Report on standards of business ethics
Foster culture of compliance
Deliver compliance program
Engage with business partners
Provide compliance advice
Provide effective challenge
Implement necessary enhancements
Build trusted-advisor relationships
Maintain trusted-advisor relationships
Deliver guidance on projects
Deliver guidance on initiatives
Collaborate with EAML Examinations teams
Design independent testing processes
Assist with periodic reporting
How You'll Work.
Team & Collaboration
Business partners; Investment Counsellors; Legal; Business Controls; Risk; Technology; Infrastructure & Innovation; Compliance; EAML Examinations teams; CBWMC; CGRA members; Risk Associates; Third line of defence partners; Asset management business leaders
Communication Scope
Communicate regulatory expectations; Communicate regulatory changes
Full Job Description
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](https://www.cibc.com/en/about-cibc.html) **What you 'll be doing** As a Senior Compliance Officer within the Commercial Banking and Wealth Management Compliance (CBWMC) team, you'll support the independent oversight of compliance for CIBC Private Investment Counsel (CPIC), a division of CIBC Asset Management Inc. (GAM). You'll leverage your advanced understanding of portfolio manager regulatory obligations, investment products, and strategies to monitor, advise, and report on regulatory and business requirements, CIBC corporate policies, and standards of business ethics and conduct. Reporting to the Director, Global Asset Management Compliance, you'll help foster a strong culture of compliance by delivering an efficient and effective compliance program, which includes policies, procedures, active engagement with business partners, and awareness training. You'll provide practical compliance advice and effective challenge on CPIC business activities and new initiatives, monitor and assess risk reports, identify trends and gaps, and support enhancements or remediation through robust compliance controls and procedures. Staying current on changes in relevant laws, regulations, and industry standards impacting CPIC, you'll implement necessary enhancements. You'll also build and maintain trusted-advisor relationships with stakeholders across Investment Counsellors, Legal, Business Controls, Risk, Technology, Infrastructure & Innovation, delivering consistent, timely, and accurate guidance on projects and initiatives. Collaboration with Compliance and
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