Opportunity Description
Drive compliance forward as the Regulatory Supervision Manager at CIBC in Toronto. Guide investment advisors while ensuring adherence to industry regulations and fostering a culture of excellence.
This pivotal managerial role reports to the Director of Sales Supervision and is responsible for Tier 1 supervision in your branches. You will deliver leadership and training to branch staff, helping them navigate supervisory matters effectively.
Key Responsibilities:
• Supervise daily operations of investment advisors
• Conduct reviews and approve new accounts promptly
• Manage compliance and governance frameworks
• Educate employees on adherence to policies
• Create a culture prioritizing operational integrity
Requirements:
• Experience in financial services compliance roles
• Required certifications in the securities field
• Strong leadership and mentoring skills
• Attention to detail with analytic...
This pivotal managerial role reports to the Director of Sales Supervision and is responsible for Tier 1 supervision in your branches. You will deliver leadership and training to branch staff, helping them navigate supervisory matters effectively.
Key Responsibilities:
• Supervise daily operations of investment advisors
• Conduct reviews and approve new accounts promptly
• Manage compliance and governance frameworks
• Educate employees on adherence to policies
• Create a culture prioritizing operational integrity
Requirements:
• Experience in financial services compliance roles
• Required certifications in the securities field
• Strong leadership and mentoring skills
• Attention to detail with analytic...
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