Senior Manager, Regulatory Supervision

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

What you’ll be doing

 

As the Senior Manager, Regulatory Supervision, reporting to the Director, Regulatory Supervision, you will be accountable for managing and executing Tier I regulatory supervision for a defined portfolio of Private Banking and CIBC Private Investment Counsel (CPIC) registered branches and registrants. You will be the accountable CIRO Supervisor for Private Banking, and Branch Manager Delegate for CPIC in accordance with CSA regulations as Portfolio Manager/Advisor. You will ensure strict adherence to all applicable regulatory requirements; provide leadership, expertise, guidance and support on regulatory supervision, sales practices, client onboarding, AML, and other compliance activities, while recommending strategies to support business growth and enhance supervisory efficiency. You will foster a culture of integrity and support employees in navigating regulatory requirements.

Please note: This role can be performed from anywhere in Canada.

 

At CIBC we enable the work environment most optimal for you to thrive in your role. You can effectively perform all work activities remotely, and will only be required to be on-site on an occasional basis.

 

How you’ll succeed

• Regulatory Oversight and Supervision – You are the accountable CIRO Supervisor for Private Banking branches and registrants and CPIC Branch Manager Delegate for CPIC branches and registrants under CSA requirements, with accountability for Tier I regulatory supervision across both businesses. Review and approve all new discretionary investment management client accounts prior to account opening, including onboarding documentation, Investment Policy Statements, KYC and suitability assessments, enhanced due diligence, ongoing World Check screening requirements, review of complex client account structures and documentation, and all applicable Canadian, U.S., and international securities regulatory requirements. Manage and oversee the ongoing supervision of registrants, including registration, as well as the maintenance of client accounts, including annual KYC reviews. Ensure compliance with AML, FATCA, CRS, and other regulatory obligations throughout client onboarding and ongoing account maintenance, including oversight of restricted or prohibited clients. Manage complaint handling, outgoing regulatory correspondence, and related supervisory escalations.

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• Risk Management, Audit and Remediation – Lead audit readiness and coordinate deliverables for internal and external examinations across Private Banking and CPIC. Serve as the primary business contact during audit fieldwork and oversee remediation of identified issues through action planning, testing, and sustainable resolution. Strengthen risk management and control frameworks to enhance oversight, improve efficiency, and support a strong client experience, while providing effective risk reporting to senior leadership.

 

• Regulatory Advisory and Business Partnership – Serve as the primary regulatory and risk advisor to Private Wealth lines of business. Provide leadership, strategic solutions, guidance, coaching, and escalation support to registrants, front-line teams, and senior leaders on regulatory, compliance, and business matters. Communicate regulatory developments, facilitate learning, and support adherence to CIRO, CSA, and internal policies. Foster strong partnerships across the business and collaborate with Legal, Compliance, and AML on complex issues, escalations, and policy exceptions. Advise senior leadership on significant regulatory, risk, and ethical matters affecting the business.

 

Who you are 

• You’re a certified professional. You are registered as a CIRO-ID Supervisor and maintain current accreditation and good standing in the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), and Branch Managers Course (BMC).
• You bring relevant industry experience. You have experience in Tier I supervision and/or the financial services or brokerage industry in a similar capacity.
• You have strong regulatory knowledge. You demonstrate knowledge of CIBC internal policies, procedures, and controls, as well as external regulatory requirements, sufficient to support effective supervision and compliance.
• You are a caring and accountable leader. You are passionate about coaching and developing others to bring out their best. You have experience leading diverse, high-performing teams and influencing positive outcomes.
• You bring a continuous improvement mindset and an enterprise-wide perspective. You consistently look for opportunities to improve how work is delivered across teams and functions. You leverage AI and digital tools thoughtfully to enhance efficiency, generate insights, and support innovation.
• You act like an owner. You thrive when empowered to take initiative, go above and beyond, and deliver strong results.

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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*, defined benefit pension plan*, an employee share purchase plan, 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 [email protected]

• CIBC is committed to clarity in our hiring process. All roles posted are opportunities we’re actively recruiting for, unless stated otherwise.

• 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 test (such as simulation, coding, French proficiency).

• We use artificial intelligence tools during the recruitment process. 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

Toronto-81 Bay, 21st Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Business Controlling, Client Service, Compliance Monitoring, Group Problem Solving, Project Management, Regulatory Requirements, Risk Management Assessment, Work Collaboratively