Compliance Officer, Private Wealth Management

6 days ago

Chicago, Illinois, United States CIBC Full time

About the Role

CIBC is seeking a highly experienced Chief Compliance Officer (CCO) to join our Private Wealth Management team. As a key member of our Compliance team, you will be responsible for developing, implementing, and maintaining an effective compliance program to address all relevant regulatory requirements.

Key Responsibilities

  • Develop and implement a comprehensive compliance program to achieve compliance with SEC, OCC, and state of Delaware rules and regulations.
  • Work with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement, and maintain a comprehensive compliance program to achieve compliance with the Federal Reserve and Bank Holding Company Act regulations.
  • Demonstrate strategic thinking and planning to address compliance issues associated with US Private Wealth Management's increasingly growing platform.
  • Exercise proactive and independent judgment when providing advice to senior management.
  • Supervise a Compliance staff to ensure that the Compliance monitoring and testing program is performed in a consistent and timely manner.
  • Develop and execute US Private Wealth Management's Annual Compliance Plan.
  • Conduct US Private Wealth Management's Compliance risk assessment.
  • Establish and maintain written policies and procedures designed to achieve adherence with fiduciary, investment advisory, bank, and securities regulations and internal Compliance policies.
  • Respond to compliance-related inquiries, questions, and requests from business personnel.
  • Assess, analyze, and interpret applicable rules and regulations.
  • Collaborate with US Regulatory Affairs to coordinate SEC, OCC, and Delaware examinations of the applicable US Private Wealth Management legal entities.
  • Prepare written responses to regulatory inquiries and examinations.
  • Deliver ongoing training and education to business personnel about Compliance matters.
  • Collaborate on inter-departmental projects with business unit partners.
  • Represent CIBC on industry/regulatory committees and manage regulatory investigations.
  • Ensure there is satisfactory resolution to highly complex regulatory compliance issues, typically with significant business unit implications, such as resolution of deficiencies or gaps that may be identified.

About You

We are looking for a highly experienced and skilled Compliance professional with a strong background in investment advisor regulations. The ideal candidate will have:

  • A strong working knowledge of OCC and SEC investment advisor regulations.
  • 10+ years of asset management Compliance experience, preferably with a SEC-registered advisor and/or a trust company.
  • Effective leadership skills with a proven ability to effectively and clearly identify issues and communicate findings to other members of the Compliance Department.
  • Previous experience as a CCO is a plus.
  • Excellent verbal and writing skills.
  • Ability to evaluate complex regulatory matters and provide clear and insightful guidance to senior management and investment management personnel.
  • Strong interpersonal skills in order to maintain working relationships with infrastructure support partners and front office personnel.
  • Strong organizational skills, including the ability to prioritize and follow-up on key issues in a timely manner.
  • Ability to work effectively in a team environment.

What We Offer

CIBC offers a competitive total rewards package, including a salary range of $235,000-$265,000 for the New York, NY & Chicago, IL markets based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employees' needs, including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members.

  • Wealth Management Consultant

    2 weeks ago

    Chicago, Illinois, United States Corient Private Wealth LLC Full time

    Become a key player in a dynamic team that champions your professional journey At Corient Private Wealth LLC, we specialize in assisting high-net-worth individuals, families, and accomplished professionals in leading fulfilling lives while safeguarding their wealth for future generations. Our mission is to surpass expectations, simplify complexities, and...

  • Wealth Strategist

    4 days ago

    Chicago, Illinois, United States Corient Private Wealth LLC Full time

    Job SummaryCorient Private Wealth LLC is seeking a highly skilled and experienced Wealth Strategist to join our team. As a key member of our wealth planning service, you will work closely with high-net-worth individuals, families, and high achievers to develop and implement customized financial plans that meet their unique needs and goals.Key...

  • Wealth Management Professional

    6 days ago

    Chicago, Illinois, United States Ritholtz Wealth Management Full time

    About Ritholtz Wealth ManagementRitholtz Wealth Management is a dynamic and innovative wealth management firm headquartered in New York City with clients and employees across the country. We are a growing Registered Investment Advisory (RIA) firm seeking highly motivated and career-oriented individuals who can thrive in an energetic and collaborative...

  • Chief Compliance Officer

    1 week ago

    Chicago, Illinois, United States Aspen Standard Wealth Full time

    Job SummaryWe are seeking a seasoned Chief Compliance Officer to lead our compliance function at Aspen Standard Wealth. This role requires a strategic thinker with hands-on execution skills, who can design, establish, and implement a robust compliance program.Key ResponsibilitiesCompliance Program Development: Design and implement a comprehensive compliance...

  • Risk Management Director

    1 week ago

    Chicago, Illinois, United States Aspen Standard Wealth Full time

    Job SummaryWe are seeking a seasoned Chief Compliance Officer to lead our compliance function at Aspen Standard Wealth. As a key member of our executive team, you will be responsible for designing, establishing, and implementing our compliance program, ensuring seamless execution and strategic planning.Key ResponsibilitiesCompliance Program Development:...

  • Private Wealth Advisor

    6 days ago

    Chicago, Illinois, United States Greenberg Traurig Full time

    About the RoleGreenberg Traurig is seeking a highly skilled Private Wealth associate with 2-8 years of experience in the field of estate planning and wealth management.Key Responsibilities:Develop and implement sophisticated estate plans for high net worth individuals and families.Draft and review trust and estate documents, including wills, trusts, and...

  • Regulatory Compliance Officer

    2 weeks ago

    Chicago, Illinois, United States Addison Group Full time

    Job OverviewPosition: Compliance Specialist Location: Fully Remote – Operating on EST or CST hours. Sector: Wealth Management Compensation: $30 - $35/hrAbout Addison Group:Addison Group is a distinguished entity in the wealth management industry, dedicated to delivering extensive investment and financial advisory services. We are in the process of...

  • UHNW Private Banker

    5 days ago

    Chicago, Illinois, United States Citigroup Inc Full time

    Job SummaryCitigroup Inc. is seeking a highly skilled UHNW Private Banker to join our team. As a key member of our Private Client Coverage group, you will be responsible for developing and deepening client relationships, creating tailored wealth management strategies, and delivering exceptional client service.Key ResponsibilitiesGrow client net revenue...

  • Wealth Management Advisor

    2 weeks ago

    Chicago, Illinois, United States CIBC Full time

    At CIBC, we are dedicated to fostering a client-centric banking experience tailored for today's sophisticated clientele. We seek passionate professionals who prioritize integrity and excellence in client service.Role Overview: The Private Banker plays a pivotal role in our organization, responsible for:Establishing and nurturing new private banking lending...

  • Lead Wealth Management Portfolio Strategist

    2 weeks ago

    Chicago, Illinois, United States Wells Fargo Full time

    About this position: At Wells Fargo, we prioritize exceptional talent that places our clients at the forefront of our operations. We are on the lookout for individuals who champion diversity, equity, and inclusion in a workplace where every team member feels appreciated and motivated. Join us in our mission to enhance Wells Fargo through outstanding...

  • Wealth Management Advisor II

    2 weeks ago

    Chicago, Illinois, United States Old National Bank Full time

    Job Locations: US-IL-ChicagoCategory/Function: Trust/Wealth ManagementPosition Type: Regular Full-TimeWorkplace Type: On SiteOverviewOld National Bank has been a cornerstone in the financial sector since 1834, managing assets totaling $48 billion. We pride ourselves on our deep connections within the communities we serve. As a reliable partner, we are...

  • Senior Wealth Management Consultant

    2 weeks ago

    Chicago, Illinois, United States U.S. Bank Full time

    About U.S. BankAt U.S. Bank, we are committed to excellence in serving our clients and communities. Our mission is to empower individuals and businesses to make informed financial choices, fostering growth and success in the communities we serve. We value the unique potential of each team member and offer a diverse range of opportunities to help you thrive...

  • Wealth Management Advisor II

    2 weeks ago

    Chicago, Illinois, United States Old National Bank Full time

    Job Locations: US-IL-ChicagoCategory/Function: Trust/Wealth ManagementPosition Type: Regular Full-TimeWorkplace Type: On SiteOverviewOld National Bank has been a cornerstone in the financial services industry since 1834. With assets totaling $48 billion, we are a significant regional institution committed to the communities we serve. As a reliable partner,...

  • Wealth Management Client Specialist

    2 weeks ago

    Chicago, Illinois, United States Huntington Bancshares Inc. Full time

    Position Overview Role Summary: The Senior Client Relationship Manager is an integral member of Huntington Bancshares Inc.'s Private Client Division, tasked with nurturing, servicing, and enhancing connections with a portfolio of moderately complex Wealth and Investment Management clients who do not require fiduciary services. Key Responsibilities:...

  • Client Relations Specialist

    2 weeks ago

    Chicago, Illinois, United States Ritholtz Wealth Management Full time

    About Ritholtz Wealth ManagementRitholtz Wealth Management is a rapidly expanding financial advisory firm based in New York City, serving clients nationwide. Position OverviewWe are a forward-thinking Registered Investment Advisory (RIA) firm in search of enthusiastic and career-driven professionals who excel in a vibrant and collaborative atmosphere,...

  • Senior Wealth Management Advisor

    2 weeks ago

    Chicago, Illinois, United States Old National Bank Full time

    Position Overview:Old National Bank has a rich history of serving clients and communities since 1834. With total assets of $50 billion, we are a regional leader dedicated to supporting our clients in achieving their financial aspirations while actively engaging in community development through charitable initiatives and volunteerism.Our employees are our...

  • Client Relations Specialist

    2 weeks ago

    Chicago, Illinois, United States Ritholtz Wealth Management Full time

    About Ritholtz Wealth Management:Ritholtz Wealth Management is a rapidly expanding wealth advisory firm based in New York City, serving clients and employing talent nationwide. Position Overview:We are an innovative Registered Investment Advisory (RIA) firm in search of driven and career-focused individuals who excel in a vibrant and collaborative setting,...

  • Wealth Management Specialist

    2 days ago

    Chicago, Illinois, United States Fifth Third Full time

    Transforming Banking ExperiencesWe connect exceptional professionals with opportunities to excel in the financial services industry. Are you ready to take on a new challenge? Discover a career in wealth management at Fifth Third Bank.Key Responsibilities:Sales and Client Development:Develop and cultivate relationships with internal and external centers of...

  • Senior Wealth Management Auditor

    2 weeks ago

    Chicago, Illinois, United States Northern Trust Full time

    About Northern Trust:Northern Trust is a prestigious financial institution, recognized globally and operating since 1889, with a strong commitment to providing exceptional financial services to individuals, families, and institutions.With over 130 years of expertise and a workforce exceeding 22,000, we leverage advanced technology and unparalleled service to...

  • Wealth Management Consultant

    1 week ago

    Chicago, Illinois, United States Wintrust Financial Full time

    About Wintrust Wealth ManagementWintrust Wealth Management is dedicated to addressing the financial requirements of individual clients, including affluent individuals, entrepreneurs, and institutions. Since our inception in 1931, we have been assisting clients in achieving their increasingly intricate financial objectives with the utmost standards of service...