Consultant, Compliance

Location: Toronto, ON; hybrid arrangement with 1–3 days per week on-site and the remaining days remote. Candidates must be legally eligible to work at the specified location and may need a valid work or study permit.

Company

CIBC is a relationship-oriented bank focused on helping clients and providing banking, investment, and financial services.

What you will do

• Execute thorough and timely Wealth Compliance examinations across CIBC Asset Management, Investment Fund Manager, Portfolio Manager, Investment Dealer, and Mutual Fund Dealer activities.
• Assess the design adequacy and operating effectiveness of processes and controls that mitigate regulatory and operational risk.
• Review remediation action plans and support validation of deficiencies identified through the Compliance and EAML Examinations Program.
• Monitor Canadian wealth-management regulatory developments, including Canadian Securities Administrators national instruments and Canadian Investment Regulatory Organization rules.
• Communicate examination observations and compliance findings to partners across Compliance, Governance and Controls, Legal, Risk Management, Portfolio Management, Trading, Product Development, Marketing, Regulatory Reporting, and Operations.
• Share knowledge with the Examinations team and contribute to continuous improvement of the Compliance Examinations Program.

Requirements

• Completed undergraduate degree in a related field.
• Experience in wealth compliance, compliance testing, examination, audit, or a related oversight function.
• Completed the Canadian Securities Course and the Conduct and Practices Handbook Course through the Canadian Securities Institute.
• Ability to analyze and interpret regulations, policies, and procedures.
• Academic knowledge of wealth management and the ability to apply it through a regulatory compliance lens.
• Ability to investigate complex problems, interpret information, communicate detailed findings meaningfully, and make decisions.
• Ability to build relationships with lines of business and partners across Wealth Governance, Legal, Risk, and Compliance.
• Commitment to adapting to change, sharing expertise, supporting collaboration, and maintaining high standards in professional relationships.

Nice to have

• Progress toward a professional designation such as Chartered Financial Analyst, Financial Risk Manager, or Certified Internal Auditor.
• Experience identifying issues, applying strategic thinking, and recommending practical, value-added solutions.

Culture & Benefits

• Hybrid work arrangement with flexibility to manage work activities.
• Competitive salary, incentive pay, banking benefits, and a benefits program.
• Defined benefit pension plan, employee share purchase plan, vacation offering, and wellbeing support.
• Personalized recognition through the MomentMakers social, points-based program.
• Inclusive and accessible work environment with support for accommodations.
• Purpose Day, a paid day off dedicated to personal growth and development.

Hiring process

• Applicants may complete an attribute-based assessment and other skills tests, which may include a French proficiency assessment.
• Artificial intelligence tools may be used during the recruitment process.