provide independent oversight of compliance with laws and regulations applicable to the investment fund manager and portfolio management/registered investment advisory business activities of CIBC Asset Management Inc. (CAMI)
advise and report on the adherence to regulatory requirements, corporate policies, practices and ethics
provide timely and proactive advice to help CAMI/CPIC fulfill their regulatory compliance responsibilities
prepare annual compliance reviews and reporting
assist in the design, establishment, and execution of regulatory compliance testing of CAMI/CPIC’s portfolio management/investment advisory business activities and identify key risk control gaps

demonstrated experience in a compliance, risk management, or legal in the investment or financial services industry
experience within a Private Wealth Management division of a bank (asset)
Bachelor’s Degree
knowledge of the Canadian regulatory environment as it relates to Wealth Management
CSC and have or are working towards a CFA, FRM accreditation/designation (asset)
ability to communicate detailed information in an impactful and practical way
critical thinking skills

competitive salary
incentive pay
banking benefits
benefits program
defined benefit pension plan
employee share purchase plan
vacation offering
wellbeing support
MomentMakers, our social, points-based recognition program
Purpose Day; a paid day off dedicated for you to use to invest in your growth and development

Senior Compliance Officer, Asset Management – Investments and Trade Operations

Key skills