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About the Role

The US Fixed Income Compliance Officer is responsible for performing advisory and monitoring functions to support CIBC’s U.S. Fixed Income Compliance program, including implementation and oversight. The position requires strong knowledge of U.S. securities laws, Department of the Treasury rules and regulations, and the ability to interact with senior managers and U.S. regulators.

Responsibilities

• Manage CIBC’s Fixed Income Compliance Program, including monitoring U.S. Treasury Auctions, coordinating annual certifications, and training stakeholders.
• Provide subject matter expertise on U.S. securities laws, FINRA rules, and U.S. Department of Treasury rules and regulations.
• Offer regulatory advice and guidance to firm management, support functions, and business lines within Fixed Income.
• Create and map controls to regulatory obligations for risk assessments.
• Perform risk assessments on fixed income lines of business.
• Train business line and support staff on rules and regulations, including U.S. Treasury Auctions and Redemption Operations.
• Draft key policies and procedures relating to the U.S. broker-dealer, with a focus on policies for the U.S. Treasury markets.
• Support ongoing regulatory matters within U.S. Capital Markets, including Fixed Income Sales and Trading.
• Collaborate with Technology to evaluate and enhance systems for regulatory requirements and surveillance.
• Collaborate with Compliance Management on potential regulatory issues and new rule requirements.
• Collaborate with Infrastructure support groups (e.g., Finance and Operations) on control issues.
• Seek interpretive guidance from US Legal on technical regulatory requirements.
• Provide support to US regulators and CIBC Internal Audit staff during regulatory exams and audits.
• Review the work of others in the business unit to ensure adherence to CIBC and LOB governance requirements.
• Complete all annual training requirements.

Requirements

• Strong interpersonal and written/verbal communication skills.
• Bachelor’s degree; J.D. preferred.
• Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, Word.
• Strong interpersonal skills to maintain working relationships.
• Excellent verbal and writing skills.
• Series 7, 63 preferred (24 license a plus).
• Understanding of U.S. financial regulatory landscape, with an emphasis on U.S. broker-dealer regulations.
• In-depth understanding of the U.S. Auction process and requirements.
• Must be legally eligible to work at the specified location(s).
• May be asked to complete an attribute-based assessment and other skills tests.

Skills

• Communication
• Compliance Activities
• Decision Making
• Process Improvements
• Quality Assurance (QA)
• Regulatory Compliance
• Risk Assessments
• Strategic Objectives
• Microsoft Excel
• Microsoft PowerPoint
• Microsoft SharePoint
• Microsoft Word

Location

• New York, NY

Work Type

• Office environment
• Regular
• Full-time

Experience Level

• Based on experience

Education Level

• Bachelor's degree
• Juris Doctor (J.D.) preferred

Salary/Compensations

• $255,000

Benefits

• Medical
• Dental
• Vision
• Health Savings Account
• Life Insurance
• Disability Insurance
• Other Insurance Plans
• Paid Time Off (Sick Leave, Parental Leave, Vacation)
• Holidays
• 401(k)
• Competitive salary
• Incentive pay
• Banking benefits
• Benefits program
• Vacation offering
• Wellbeing support
• MomentMakers recognition program

About the Company

• We’re building a relationship-oriented bank for the modern world.
• 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.
• 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.
• 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.
• At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them.
• Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability.
• Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel.
• Every day, our 48,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.

Equal Opportunity

• 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 Mailbox.careers-carrieres@cibc.com.