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  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

As the Senior Manager, Regulatory Supervision, reporting to the Director, Regulatory Supervision, you will be accountable for Tier 1 supervision within your designated branches. You will be accountable to provide leadership, expertise, guidance, support and training to all branch staff as it relates to sales supervision. You will ensure adherence to industry regulations and acceptable standards of business ethics and conduct.

You will also recommend strategies to assist employees in reducing follow up with respect to supervisory related queries.

At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote.

The expected annualized base salary range for this role is $92,490 to $110,000.

The base salary is determined by a variety of factors, including the candidate’s skills, experience, and job-related knowledge, as well as geographic location and specific business needs. Our compensation philosophy supports ongoing growth and development, enabling progression within the salary range as team members advance in their roles.

In addition to base pay, compensation for this role includes participation in an annual discretionary incentive or bonus program.

We are committed to providing fair, equitable, and competitive compensation opportunities for all employees and we encourage open conversations about compensation throughout the recruitment process.

• Supervision – Supervision of New Investment Advisors (RRs) or Assistants (IRs), Investment Advisors (RRs) or Assistants (IRs). You will also be required to oversee trading and account supervision for the Daily Commission Run Review, Universal Market Integrity Rules Review, Monthly Statement Reviews, FATCA Remediation Reports and more.
• Account Opening & Documentation – Reviewing and approval of new accounts and account updates.
• Governance and Controls – Effectively manage the overall governance and compliance framework for the branch. Providing support and/or responsible for items related to branch operational risk.
• Operational Excellence – Create a culture of operational excellence, ensure adherence to the management of irregularities, Code of Conduct, compliance policies, reputation and legal risk policies and training requirements, role model CIBC’s vision and values, communicate, implement and educate employees on compliance policies & procedures.

• You can demonstrate experience. In Tier 1 supervision and/or in financial services and brokerage industry in a similar capacity.
• You’re a certified professional. You are registered as CIRO-. You have current accreditation and good standing with the Canadian Securities Course (CSC); the Conduct and Practices Handbook (CPH); the Derivative Fundamentals and the Option Licensing Course (DFOL);
  Options Supervisors Course (OPSC). Completion of the Branch Managers Course (BMC) and/or Investment Dealer Supervisors Course (IDSC).
• You're passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
• You act like an owner. You thrive when you're empowered to take the lead, go above and beyond, and deliver results.
• You look beyond the moment. You make decisions and take actions that will make a difference today and tomorrow. You proactively seek new opportunities to define what's possible.
• Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
• You understand that details matter. You notice things that…