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

Regulatory Supervision is primarily responsible for the supervision of all U.S. sales and trading desks within Global Markets. The supervisory program is designed to reduce and manage regulatory risk by preventing violations from occurring as well as detecting when violations do occur. Regulatory Supervision is a business role (not Compliance) and is delegated the responsibility to supervise on behalf of Global Markets business heads.

Regulatory Supervision has been delegated the authority to develop and manage the execution of a robust and effective supervisory program for all US Global Markets businesses, including: Cash Equities, Program Trading, DMA, Listed Equity Derivatives, Delta1, Convertibles, Fixed Income, Treasuries, Repo Financing, Prime Brokerage, Commodities, Interest Rate Derivatives, FX. As a key contributor to the supervisory program, the incumbent has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness of the regulatory reporting regime.

How You’ll Succeed

• The ideal candidate will utilize SQL and Python skills to enhance the self-service aspect of CIBCs supervisory program

• Assist with the tracking and organization of surveillance metrics of various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting

• Manage the team’s ongoing projects, inquiries, audits, examinations in coordination with Business Management and Compliance

• Maintain and enhance the documentation of internal policies and Written Supervisory Procedures (WSPs) to comply with applicable trading regulations (SEC, FINRA, CFTC, NFA and others)

• Provide specialized advice on transactionalissues to trading floor personnel as well as Business Management

• Promptly escalatesignificantissuesandmaterialincidents of non-compliancetotherelevant Global Markets businesshead,seniorComplianceofficerand, if appropriate, head of US Global Markets forresolutionincludingrecommendationsforcorrective action

• Collaborate with Project teams and infrastructure partners on new product initiatives as well as the development and implementation of solutions to address existing/new regulatory requirements

• Work with Compliance to analyze proposed/new rules and regulations as well as industry and internal business developments to assess the overall business impact

• Assist Compliance in responding to regulatory inquiries, exams and audits by regulators and SROs

• Ensure that employees responsible for trading securities are appropriately registered

• Participate in appropriate industry committees and working groups

• Work on special projects as assigned from time to time

Who You Are

Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.

You can demonstrate experience with:

• Undergraduate degree

• Minimum 10+ years experience in handling securities and OTC derivative/swap Equity (and preferably Equity Derivatives) compliance issues gained at an investment dealer, regulator or marketplace

• Knowledge of SEC/FINRA/CFTC/NFA and other US based regulatory rules

• Ability to develop and maintain automated exception based surveillance reports

• Excellentrelationship-building skills

• Effective written/oral communication and presentation skills

• Well-developedknowledgeoftradingpracticesandassociatedregulatoryrequirements

• Ability to work in a challenging environment while exhibiting poise under severe conditions

• Resourceful; creative problem solving skills

• Series 7, 57, 63 preferred

• Good knowledge of MS Office (especially Excel), Bloomberg, Python or other languages

• Ability to manage competing priorities

You embrace and champion change. You'll continuously evolve your thinking and the way you work in order to deliver your best.

Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.

You’re digitally savvy. You seek out innovative solutions and embrace evolving technologies. You can easily adapt to new tools and trends.

You're driven by collective success. You know that collaboration can transform a good idea into a great one. You understand the power of an inclusive team that enjoys working together to create a shared vision.

Working Conditions

• When we return to the office, open concept trading floor environment with exposure to noise and distractions

• Required to make decisions in a fast paced work environment

• Often required to work beyond normal business hours

At CIBC, we offer a competitive total rewards package. This role has an expected salary of US$250,000 for the New York, NY market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit’s incentive compensation plan, which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee’s needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members.

Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process.

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

• We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.

• Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.

• We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development.

*Subject to plan and program terms and conditions

What you need to know

• CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com

• You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.

• We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.

Job Location

NY-300 Madison Ave., 5th Floor

Employment Type

Regular

Weekly Hours

40

Skills

Analytical Thinking, Business, Client Consultations, Client Onboarding, Client Service, Customer Engagement, Global Market, Identifying Opportunities, Sales, Standard Operating Procedure (SOP), Wealth Management

At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability.

Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel.

Every day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.