CIBC
Finance / FinServ
SeniorManager,RegulatorySupervision
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“Senior Manager, Regulatory Supervision at CIBC. Skills: Regulatory Supervision, Tier 1 supervision, Sales supervision, Governance and compliance framework, Operational risk. Accountable for Tier 1 supervision within designated branches. Provide leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision”
What You'll Achieve.
Assist employees in reducing follow up with respect to supervisory related queries; Create a culture of operational excellence; Deliver results
Industry & Context.
Critical thinking skills
Attribute-based assessment, Skills test (such as simulation, coding, French proficiency), Use of artificial intelligence tools during the recruitment process
What They're Looking For.
Must Have
Registered as CIRO-ID Supervisor, Current accreditation and good standing with the Canadian Securities Course (CSC), Current accreditation and good standing with the Conduct and Practices Handbook (CPH), Current accreditation and good standing with the Derivative Fundamentals and the Option Licensing Course (DFOL), Current accreditation and good standing with the Options Supervisors Course (OPSC), Completion of the Branch Managers Course (BMC), Completion of the Investment Dealer Supervisors Course (IDSC), Legally eligible to work at the specified location(s)
Nice to Have
Completion of the Branch Managers Course (BMC) and/or Investment Dealer Supervisors Course (IDSC)
What You'll Do.
Accountable for Tier 1 supervision within designated branches
support and training to all branch staff as it relates to sales supervision
Ensure adherence to industry regulations and acceptable standards of business ethics and conduct
Recommend strategies to assist employees in reducing follow up with respect to supervisory related queries
Supervision of New Investment Advisors (RRs) or Assistants (IRs)
Investment Advisors (RRs) or Assistants (IRs)
Oversee trading and account supervision for the Daily Commission Run Review
Universal Market Integrity Rules Review
Monthly Statement Reviews
FATCA Remediation Reports and more
Reviewing and approval of new accounts and account updates
Effectively manage the overall governance and compliance framework for the branch
Providing support and/or responsible for items related to branch operational risk
Create a culture of operational excellence
Ensure adherence to the management of irregularities
reputation and legal risk policies and training requirements
Role model CIBC’s vision and values
implement and educate employees on compliance policies & procedures
How You'll Work.
Team & Collaboration
Surround yourself with a diverse network of partners; Build trust through respect and authenticity; Make yourself heard; Teamwork
Communication Scope
Communicate, implement and educate employees on compliance policies & procedures; Make yourself heard
Process & Methodology
Project Management
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 the Senior Manager, Regulatory Supervision, reporting to the Director, Regulatory Supervision, you will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You will also recommend strategies to assist employees in reducing follow up with respect to supervisory related queries. _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** * **Supervision –** Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs). You will also be required to oversee trading and account supervision for the Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and more. * **Account Opening & Documentation –** Reviewing and approval of new accounts and account updates. * **Governance and Controls –** Effectively manage the overall governance and compliance framework for the branch. Providing support and/or responsible for items related to branch operational risk. * **Operational Excellence –**
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