Director, Investment Banking Compliance

Location: New York, NY; legally eligible to work at the specified location

Salary: $150,000–$200,000 annually, plus potential incentive compensation and discretionary bonus.

Company

CIBC is a relationship-oriented bank providing financial services and capital markets support for corporate and financial institution clients.

What you will do

• Advise corporate and financial institution clients on regulatory considerations for debt and equity offerings, derivatives strategies, structured products, and other capital markets transactions.
• Partner with Investment Banking, Sales & Trading, Legal, Risk, Compliance, and Operations to evaluate transaction structures and regulatory alignment.
• Review watch and restricted list surveillance reports and maintain the US portion of CIBC’s global lists.
• Conduct compliance risk assessments, trading activity diligence, and reviews of supervisory and control environments.
• Develop governance frameworks, policies, supervisory procedures, training materials, and regulatory control mappings.
• Support remediation, regulatory matters, internal committees, regulatory examinations, and audits.

Requirements

• Bachelor’s degree required; J.D. preferred.
• Comprehensive understanding of the US regulatory landscape and private-side activities in Investment Banking, Corporate Banking, and Debt Capital Markets.
• Ability to translate complex regulatory concepts into business-focused advice and communicate effectively with senior stakeholders.
• Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, and Word.
• Strong interpersonal, written, and verbal communication skills.
• Legal eligibility to work at the specified US location; a valid work or study permit is required where applicable.

Nice to have

• Series 7 and Series 63 licenses.
• Series 24 license.
• J.D.

Culture & Benefits

• Full-time regular employment with a 40-hour workweek.
• Medical, dental, vision, health savings account, life, disability, and other insurance plans.
• Paid sick leave, parental leave, vacation, and holidays.
• 401(k), banking benefits, incentive pay, wellbeing support, and recognition programs.
• Access to growth and development initiatives, including a paid Purpose Day.

Hiring process

• The process may include an attribute-based assessment and skills tests such as MS Office simulations.
• Additional compensation and benefits details are provided during the hiring process.