Senior Director, Compliance – Capital Markets

Location: Toronto, ON — Toronto-161 Bay St., 5th. Work arrangement proportions of on-site and remote work will be discussed during the interview.

Company

CIBC is a relationship-oriented bank serving clients through modern banking and capital markets services.

What you will do

• Lead the Canadian broker-dealer compliance program and oversee the compliance framework for Canada Capital Markets.
• Design and execute supervisory controls, monitoring, compliance testing, risk assessments, regulatory change management, issue tracking, and training initiatives.
• Advise Capital Markets leaders on regulatory requirements, business strategies, new products, and initiatives.
• Represent Compliance on management boards and committees and present compliance reporting to senior stakeholders.
• Engage with securities regulators and industry associations while overseeing regulatory examinations and internal reviews.
• Manage, coach, and develop senior compliance professionals while supporting succession planning and continuous improvement.

Requirements

• Extensive knowledge of Canadian capital markets activities, including equity, fixed income, foreign exchange, derivatives, commodities, money markets, underwriting, syndication, sales, and trading.
• Strong knowledge of securities legislation, marketplace rules, Universal Market Integrity Rules, dealer rules, and exchange or marketplace trading requirements.
• Significant capital markets compliance experience in an investment dealer, regulator, marketplace, or similarly complex financial services environment.
• Proven experience leading and developing high-performing teams in a complex compliance environment.
• Ability to build credibility with senior leaders, regulators, and cross-functional partners and communicate complex regulatory matters clearly.
• Must be legally eligible to work at the specified location and hold a valid work or study permit where applicable.

Culture & Benefits

• Competitive salary and incentive pay.
• Banking benefits, a benefits program, and a defined benefit pension plan, subject to applicable terms.
• Employee share purchase plan, vacation offering, wellbeing support, and social recognition program.
• Purpose Day provides a paid day off for personal growth and development.
• Inclusive and accessible candidate experience.

Hiring process

• Work arrangement details will be discussed during the interview.
• An attribute-based assessment or other skills tests may be required.
• Artificial intelligence tools may be used during recruitment.