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Regulatory Supervision Officer

Kamloops, BC
Full Time
4 days ago
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 feel empowered at work. Our team members have what they need to make a meaningful impact and feel truly valued for who they are and what they contribute.

To learn more about CIBC, please visit

Job Description

This is a remote role currently being performed out of Kamloops, British Columbia however can be performed from any CIBC Wood Gundy branch in Canada.

What You'll Be Doing

As an Officer Regulatory Supervision (ORS), you will report to the Director, Sales Supervision and will be accountable to ensure that an effective governance and control environment is in place within their designated branches by monitoring and advising on trade activity to ensure adherence to industry regulations and acceptable standards of business ethics and conduct. You must fully understand all trade and account supervision requirements and ensure adherence to both internal and external timeframes and standards. You will support and assist the registered Supervisor(s) in the ongoing supervision of regulatory and compliance activities (daily, monthly and periodic) of the branch.

How You'll Succeed
  • Trading and Account Supervision: Support and assist Managers with the review activities related to Trading and Accounts such as; Daily Commission Run (including Options), Universal Market Integrity Rules, Monthly Statement (Pros and Clients), Monthly Activity, Portfolio Partner Quarterly Activity, Simple Discretionary Accounts, CRM Sample Testing, Leveraged and Inverse Leveraged ETFs, Insurance Large Case Reviews and Inforce Policy, Individual Pension Plans, etc.
  • Account Opening & Documentation: Support and assist the Managers with the review of new accounts (including short options), account updates, etc.
  • Communications: Support and assist the Managers with outgoing correspondence (including email, fax, etc.) and marketing.
  • Manage Complaints: Support the resolution of Service Complaints and Sales Practice Complaints.
  • Registrations: Ensure Branch Registration Requirements are met, including outside business activities.

Who You Are
  • You're a certified professional. You have successfully completed the Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH). Other associated IIROC registrations are considered assets (Branch Managers Course and Options Supervision)
  • Experiences you Bring. You can demonstrate experience in financial services and brokerage industry in a similar capacity. You are knowledgeable in policies and procedures related to trade execution. You have well-developed knowledge of CIBC internal and external regulatory risk requirements, procedures and controls sufficient to ensure compliance. Solid understanding of the CIBC Wood Gundy business, along with the regulatory and compliance environment surrounding the branch network
  • You have strong business acumen. You have the necessary interpersonal skills to provide coaching and feedback to Branch Managers, Investment Advisors etc. You are able to effectively communicate and convey potential risk situations and implications and provide training to branch staff.
  • You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it's the right thing to do.
  • You're an organized person. You have strong time and self-management skills sufficient to schedule, organize and complete work within established timeframes, while accommodating priorities.
  • Values matter to you. You bring your real self to work and you live our values - trust, teamwork and accountability.

What CIBC Offers

At CIBC, our people are our greatest asset. You'll become part of a diverse community that acknowledges everyone's unique talents, and empowers teams to do what's right for the client, and to do it well. As part of our team, you will:
  • Thrive: Benefit from an open and approachable culture that provides the flexibility and support you need to integrate your life at work and at home
  • Connect: Work in a place where the right technology and infrastructure fosters innovation, collaboration and creativity
  • Develop: Grow your skills and career through our best-in-class onboarding experience, ongoing learning opportunities, individual development planning, and comprehensive product training
  • Prosper: Share in our collective success with a competitive salary, incentive pay, banking benefits, health benefits program, and employee share purchase plan

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 during the application or interview process, please contact
  • 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

Job Location
Kamloops-275 Lansdowne
Employment Type

Weekly Hours