CIBC
Financial Services
SeniorManager,RegulatorySupervisionBilingual
“Senior Manager, Regulatory Supervision - Bilingual at CIBC. Skills: Regulatory Supervision, Sales Supervision, Branch Operations. Provide subject matter leadership. Provide expertise”
What You'll Achieve.
Reduce follow up with respect to supervisory related queries
Industry & Context.
Group Problem Solving
Bilingual (French and English)
What They're Looking For.
Must Have
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 Option Licensing Course (DFOL), Current accreditation and good standing with the Investment Dealer Supervisors Course (IDSC), Current accreditation and good standing with the Branch Managers the Options Supervisory Course, CIRO Derivatives Exam, CIRO Supervisors Course, Registered as an ID Supervisor with CIRO, Tier 1 supervision experience in financial services, Tier 1 supervision experience in brokerage industry
Nice to Have
CFA charterholder preferred, CPA charterholder preferred, FRM charterholder preferred
What You'll Do.
Provide subject matter leadership
Provide training to branch staff
Ensure adherence to industry regulations
Ensure adherence to acceptable standards of business ethics
Ensure adherence to acceptable standards of business conduct
Recommend strategies to assist employees in reducing follow
Supervise New Investment Advisors
Supervise Investment Advisors
Oversee trading supervision
Oversee account supervision
Review Daily Commission Run
Review Universal Market Integrity Rules
Review Monthly Statement
Review FATCA Remediation Reports
Review and approve new accounts
Review and approve account updates
Manage governance framework
Manage compliance framework
Support branch operational risk
Be responsible for branch operational risk
Create a culture of operational excellence
Ensure adherence to management of irregularities
Ensure adherence to Code of Conduct
Ensure adherence to compliance policies
Ensure adherence to reputation risk policies
Ensure adherence to legal risk policies
Ensure adherence to training requirements
Role model CIBC’s vision
Role model CIBC’s values
Communicate compliance policies
Implement compliance policies
Educate employees on compliance policies
Communicate compliance procedures
Implement compliance procedures
Educate employees on compliance procedures
How You'll Work.
Team & Collaboration
Branch staff; Employees
Communication Scope
Subject matter leadership; Expertise; Guidance; Support; Training
Process & Methodology
Project Management
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