Senior Compliance Advisor

1 day ago

Chicago IL United States cibc Full time

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 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.

In support of CIBC’s core purpose: to make our clients’ ambitions a reality, Risk Management is accountable for the independent oversight of risk management inherent to CIBC’s transactions and activities. These risks include but are not limited to ensuring effective processes are in place for the identification, management, measurement, monitoring and control of operational, reputation and legal, strategic, market, credit, investment and liquidity risk, collectively “CIBC Risk”, incurred by CIBC’s businesses, functional and corporate governance groups.

US Compliance delivers on the global Compliance mandate by providing timely, proactive advice and independent second line oversight to the US Capital Markets, US Commercial Banking and Wealth Management lines of business. US Compliance supports these lines of business by being proactive advisors, trusted specialists and value-added partners. Together with the lines of business and in line with CIBC’s Risk Appetite Statement, US Compliance works to identify, assess, manage and mitigate regulatory compliance risk to protect CIBC’s reputation and brand, while helping CIBC become a strong, innovative and relationship-oriented bank for a modern world.

The Senior Compliance Officer will support CIBC Bank USA and CIBC Inc. (collectively “Bank”) and play a pivotal role in ensuring that the Bank adheres to all applicable laws, regulations, and internal policies. The Senior Compliance Officer reports to the Deputy Chief Compliance Officer (CCO) and supports US Compliance mandate to lead and manage the bank's compliance program, including monitoring and reporting on the effectiveness of the program, developing strategies to improve compliance, and fostering a culture of integrity and ethical behavior across the organization. This role requires a deep understanding of banking regulations, enterprise risk management, and leadership skills to guide the first line of defense and collaborate across functional areas.

KEY ACCOUNTABILITIES

  • Support the Bank's compliance with all applicable federal, state, and local banking regulations and other relevant regulatory frameworks.
  • Monitor and analyze changes in regulations and ensure the Bank's policies and procedures are updated accordingly.
  • Provide guidance and interpretation of regulations to internal stakeholders, ensuring that all departments are aware of their compliance obligations.
  • Assist with the development of content of compliance training programs for employees, management, and the board of directors.
  • Oversee the complaint management program and lead research and response of regulatory-related complaints, including responses to regulatory agencies.
  • Support the execution of the bank’s compliance risk assessments to identify potential areas of compliance vulnerability and risk, and develop corrective action plans for resolution.
  • Support preparation of regular compliance reports to compliance and risk executive management and relevant risk committees, highlighting key risks, issues, and progress on compliance initiatives.
  • Ensure that all compliance-related documentation, including policies and procedures, is accurate, up-to-date, and readily accessible.
  • Mentor and develop junior compliance team members, fostering a culture of continuous improvement and professional growth.
  • Work closely with other departments, including Legal, Risk Management, Internal Audit, and Infrastructure groups, to ensure a coordinated approach to compliance across the bank.
  • Serve as a subject matter expert on compliance-related issues, providing advice and support to business units on the development and implementation of compliant processes and procedures.
  • Participate in strategic planning initiatives, providing compliance insights to support the bank's growth and operational goals.
  • Lead investigations into compliance violations or breaches, ensuring timely and thorough resolution of issues.
  • Monitor industry trends, best practices, and regulatory developments to proactively enhance the bank's compliance program.
  • Drive continuous improvement initiatives to streamline compliance processes, reduce risk, and increase efficiency.
  • Regular contact with industry professionals to discuss and benchmark similar risks, processes and issues.

KNOWLEDGE AND SKILLS

  • Proven leadership and management experience, with a track record of successfully leading compliance teams.
  • Ability to exercise a high degree of independent judgement and make sound decisions.
  • Expert interpersonal, communication and problem-solving skills, including effective engagement with all levels of the organization, including senior management, board of directors and regulators.
  • Extensive knowledge of applicable banking laws and compliance and enterprise risk frameworks.
  • Ability to drive innovation or new ideas across areas of responsibility.
  • Ability to manage workload and shift priorities to meet deadlines in a dynamic and rapidly-changing environment.
  • Bachelor’s degree in Business, Finance, Law, or a related field (Master’s or JD preferred).
  • Minimum of 12 years of experience in compliance, risk management, or legal roles within the banking or financial services industry.
  • Advanced Excel, Word, and PowerPoint skills; CRCM preferred.
  • 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, 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.

  • We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.
  • 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.

*Subject to plan and program terms and conditions.

Job Location : IL-70 W Madison St, 10th Fl

Employment Type : Regular

Weekly Hours : 40

Skills : Decision Making, Process Improvements, Quality Assurance (QA), Regulatory Compliance, Risk Assessments, Strategic Objectives

#J-18808-Ljbffr

  • Operational Compliance Advisor

    1 day ago

    Chicago, IL, United States TransUnion LLC Full time

    TransUnion's Job Applicant Privacy Notice Personal Information We Collect Your Privacy Choices What We'll Bring: At TransUnion, we strive to build an environment where our associates are in the driver's seat of their professional development, while having access to help along the way. We encourage everyone to pursue passions and take ownership of their...

  • Second Chair Advisor

    4 weeks ago

    Westport, CT, United States Lead Advisor Full time

    Lead Advisor, LLC is a wealth management consulting and search firm. This role is for one of our clients. Visit other wealth management focused roles at jobs.lead-advisor.comOur client, an award-winning wealth management and planning practice in Westport, is hiring a Second Chair Advisor to continue to deliver first class service to their clients.The ideal...

  • Senior Compliance Analyst

    2 days ago

    Chicago, IL, United States Driehaus Capital Management LLC Full time

    Driehaus Capital Management LLC is a privately held investment management firm that manages global, emerging markets, US growth equity and alternative investment strategies. The firm has a diverse institutional client base comprised of corporate and public pensions, endowments, foundations, sub-advisory, family offices, wealth managers and financial...

  • Compliance Officer

    2 days ago

    Chicago, IL, United States Jones Lang LaSalle Incorporated Full time

    LaSalle is seeking a highly skilled and motivated person to join our team as Compliance Officer. The ideal candidate will have an in-depth knowledge of broad compliance matters relating to both broker dealer and investment advisory activities, along with a deep understanding of the related regulatory requirements. The successful candidate will work closely...

  • Human Resource and Compliance Manager

    2 days ago

    Chicago, IL, United States Senior Lifestyle Corporation Full time

    Community Name: Senior Lifestyle Corporate Office Company Description Do you have HEART? We are looking for individuals who can embrace our mission to purposely brighten and enrich the lives of those we serve with HEART; Hospitality, Excellence, Appreciation, Respect & Teamwork. This position is responsible for the central intake of new leads to the...

  • Senior HQ Compliance Advisor

    4 days ago

    Saint Louis, MO, United States Edward Jones Full time

    Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is...

  • Senior HQ Compliance Advisor

    4 days ago

    Saint Louis, MO, United States Edward Jones Full time

    Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is...

  • Senior Director, US Compliance Advisory

    2 days ago

    Chicago, IL, United States TransUnion Full time

    Senior Director, US Compliance Advisory Locations: Chicago, Illinois Time Type: Full time Posted on: Publicado hace más de 30 días Job Requisition ID: 19030904 Lo que traeremos: At TransUnion we have a welcoming and energetic environment that encourages collaboration and innovation - we're constantly exploring new technologies and tools to be agile. This...

  • Senior Legal Advisor

    7 days ago

    Chicago, Illinois, United States Teksky Full time

    About Teksky: A dynamic and innovative law firm specializing in eDiscovery and Information Governance, dedicated to providing exceptional legal counsel and thought leadership in complex litigations and investigations. With a strong focus on eDiscovery and information governance, our team is equipped to handle the most intricate cases with ease. Our mission...

  • Compliance Officer

    2 days ago

    Nevada, IA, United States Course Advisor Full time

    Compliance Officer Definition : Examine, evaluate, and investigate eligibility for or conformity with laws and regulations governing contract compliance of licenses and permits, and perform other compliance and enforcement inspection and analysis activities not classified elsewhere. Job Opportunities In 2016, there was an estimated number of 288,300 jobs in...

  • Compliance Manager

    2 days ago

    Washington, DC, United States Course Advisor Full time

    What You Need to Know About Compliance Manager Compliance Manager Definition : Plan, direct, or coordinate activities of an organization to ensure compliance with ethical or regulatory standards. Daily Life Of a Compliance Manager Conduct environmental audits to ensure adherence to environmental standards. Collaborate with human resources departments to...

  • Environmental Compliance Inspector

    2 days ago

    , CA, United States Course Advisor Full time

    What Do Environmental Compliance Inspectors Do? Career Description: Inspect and investigate sources of pollution to protect the public and environment and ensure conformance with Federal, State, and local regulations and ordinances. Life As an Environmental Compliance Inspector Perform laboratory tests on samples collected, such as analyzing the content of...

  • Associate (Senior) Wealth Advisor

    1 day ago

    Independence, OH, United States Gatepass Full time

    GatePass Capital is a growing Registered Investment Advisor (RIA), headquartered in Northeast Ohio, offering investment and wealth management services and comprehensive financial planning. At GatePass, we exist with a singular purpose: to help our clients prosper in all aspects of life. Our five core pillars are: Client Experience Unwavering Integrity...

  • Senior Financial Advisor

    2 days ago

    Oak Brook, IL, United States AFIN Family Wealth Management Full time

    Senior Financial Advisor AFIN Family Wealth Management is a firm specializing in holistic financial planning for individuals and businesses. Our goal is to make financial planning understandable and accessible by offering personalized, hands-on service. We educate our clients about financial concepts and products, and take the mystery out of investing,...

  • Senior Compliance Specialist

    3 days ago

    Chicago, United States HighTower Full time

    Our Story Founded in 2008, Hightower is a wealth management firm that provides investment, financial and retirement planning services to individuals, foundations and family offices, as well as 401(k) consulting and cash management services to corporations. Hightower's capital solutions, operational support services, size and scale empower its vibrant...

  • Senior Financial Advisor

    2 weeks ago

    Virginia Beach, VA, United States Clarke Financial Management Full time

    WHAT WE ARE LOOKING FOR IN A SENIOR FINANCIAL ADVISOR:CFM is seeking a Senior Financial Advisor to join our client facing Financial Advisory Team in Virginia Beach, VA. You can get further details about the nature of this opening, and what is expected from applicants, by reading the below. The Senior Financial Advisor will work closely with all the...

  • Senior Financial Advisor

    4 weeks ago

    Miami, FL, United States PUENTE Estados Unidos Full time

    Growth Opportunity with a Reputable International Wealth Manager in MiamiWe are seeking talented individuals who are eager to grow, be challenged, and find inspiration in helping others achieve their financial goals. Our Miami Broker-Dealer is looking for a highly motivated Financial Advisor to join our team and provide exceptional financial and investment...

  • Senior Compliance Director, Head of Product, Distribution and Communications Compliance

    2 days ago

    Charlotte, NC, United States Vanguard Full time

    As the Head of Vanguard’s Product, Distribution & Communications (“PD&C”) Compliance function, this role is responsible for ensuring that the company’s mutual funds, products, and institutional distribution activities comply with all applicable laws, regulations, and internal policies. You will provide strategic leadership and direction for a dynamic...

  • Senior Admissions Advisor

    1 month ago

    Maumee, OH, United States Stautzenberger College-Maumee Full time

    Help us define our next century of impact on our community. Look around Ohio, Southern Michigan, Western Pennsylvania and everywhere in the midwest. You’ll find Stautzenberger College graduates doing the hands-on, real work that drives our communities forward everyday - from nurses and vet techs to HVAC maintenance and welders, from hospitals to offices...

  • Financial Advisor

    4 weeks ago

    Chicago, IL, United States STRIDE Financial Full time

    Job Title: Licensed Financial AdvisorLocation: Lincoln Park - Chicago, ILCompany: STRIDE InvestmentsAbout Us: STRIDE Investments is a leading private wealth management firm based in Chicago, dedicated to providing exceptional financial planning and wealth management services. Our mission is to help clients achieve their financial goals through...