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Senior Manager, Regulatory Supervision at CIBC - ApplyBlast

Senior Manager, Regulatory Supervision

CIBC

4 months ago

4.3 on Glassdoor

Toronto, ON

Hybrid

Full Time

Manager

0 applicants

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About this role

This role serves as a Manager of Regulatory Supervision, leading Tier 1 supervision within designated branches to ensure adherence to industry regulations and ethical standards. The position involves providing strategic guidance and training to branch staff, overseeing trading and account supervision, and managing the branch's operational risk framework. Candidates will cultivate a culture of operational excellence while educating employees on compliance policies and procedures.

Responsibilities

Lead Tier 1 supervision for New Investment Advisors and Assistants across designated branches
Oversee trading and account supervision including Daily Commission Run Review processes
Manage the overall governance and compliance framework for branch operations
Develop and deliver training on compliance policies, Code of Conduct, and legal risk procedures
Recommend strategies to assist employees in resolving supervisory-related queries efficiently

Skills

Qualifications

Canadian Securities Course (CSC)Conduct and Practices CertificationDerivative Fundamentals CertificationWealth Management Essentials CertificationInvestment Dealer Supervisors Certification

About CIBC

cibc.com

Headquarters

Toronto, Ontario, Canada

Company Size

10001+ employees

Founded

1867

View Profile

CIBC (Canadian Imperial Bank of Commerce) is one of Canada’s major banks providing personal, business and wealth management services. It offers everyday banking, credit cards, mortgages, loans, investing and financial advice through branches, phone and online/mobile channels. CIBC serves individuals, small businesses and institutional clients with digital tools, financial planning and specialized products such as private and commercial banking. Customers rely on CIBC for its broad product suite, omnichannel access and Canadian market presence.