Impress employers and recruiters.
Choose from hundreds of resume examples.

Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

The Investment Banking Compliance Officer serves as a strategic partner to the business and internal stakeholders, advising on regulatory risk, transaction execution, and control frameworks for Investment Banking. This role bridges front-office strategy with regulatory and governance considerations, delivering actionable insights that support complex transactions, market activity, and business growth.

Responsibilities

• Advise corporate and financial institution clients on regulatory considerations impacting capital markets transactions, including debt capital and equity offerings, derivatives strategies, and structured products.
• Review Watch and Restricted List surveillance reports to identify suspicious or prohibited transactions.
• Maintain the U.S. portion of CIBC’s Global Watch and Restricted Lists through frequent communication with U.S. Investment Banking, Corporate Credit and Capital Markets staff.
• Prepare management information related to the control room and other internal reporting.
• Partner with Sales & Trading, Investment Banking, and Legal teams to evaluate transaction structures, ensuring alignment with SEC, SRO, and global regulatory requirements.
• Conduct diligence on trading activity, supervisory frameworks, and control environments as part of transaction advisory and client engagements.
• Develop and enhance governance frameworks, policies, and supervisory procedures to support capital markets activities and mitigate regulatory risk.
• Review and prepare training materials and conduct training for compliance and business teams.
• Advise on remediation strategies and control enhancements in response to regulatory findings, due diligence outcomes, or transaction-related risks.
• Support senior client discussions and internal committees by delivering insights on regulatory trends, enforcement developments, and market best practices.
• Collaborate cross-functionally with Risk, Compliance, and Operations to align advisory recommendations with business strategy and execution capabilities.
• Provide support with ongoing regulatory matters within U.S. Capital Markets.
• Complete compliance risk assessments for the businesses.
• Create and map controls to regulatory obligations used in risk assessments.

Requirements

• Strong interpersonal and written/verbal communication skills.
• Strong technical skills in Microsoft Excel, Powerpoint, Sharepoint, Word.
• Comprehensive understanding of US regulatory landscape, private side business activities relating to Investment Banking, Corporate Banking, and Debt Capital Markets.
• Excellent communication skills, with the ability to translate complex regulatory concepts into business-focused advice.
• Must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls.
• Accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements.
• Must complete all annual training requirements.
• Be legally eligible to work at the specified location(s) and, where applicable, must have a valid work or study permit.
• May be asked to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office).

Skills

• Capital Markets
• Decision Making
• Judgement
• Process Improvements
• Quality Assurance (QA)
• Regulatory Compliance
• Risk Assessments
• Strategic Objectives
• Total Rewards
• Microsoft Excel
• Microsoft Powerpoint
• Microsoft Sharepoint
• Microsoft Word

Location

• New York, NY

Work Type

• Regular
• Full-time

Experience Level

• Experience based on qualifications

Education Level

• Bachelor’s degree
• J.D. preferred
• Series 7, 63 preferred (24 license a plus)

Salary/Compensations

• $150,000 - $200,000

Benefits

• Medical
• Dental
• Vision
• Health Savings Account
• Life Insurance
• Disability
• Other Insurance Plans
• Paid Time Off (including Sick Leave, Parental Leave, and Vacation)
• Holidays
• 401(k)
• Competitive salary
• Incentive pay
• Banking benefits
• Benefits program
• Vacation offering
• Wellbeing support
• MomentMakers recognition program
• Purpose Day (paid day off for growth and development)

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.
• 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.