Chief Compliance Officer, CIBC US Private Wealth

4 weeks ago


Chicago, Illinois, United States CIBC Bank Full time
About the Role

We're seeking a seasoned Compliance professional to join our team as Chief Compliance Officer (CCO) for CIBC Private Wealth Management (PWM). As CCO, 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 U.S. 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.
  • Provide strategic thinking and planning to address compliance issues associated with PWM's 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 PWM's Annual Compliance Plan.
  • Conduct U.S. PWM'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 U.S. Regulatory Affairs to coordinate SEC, OCC, and Delaware examinations of the applicable US PWM 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.
About You

We're looking for a strong Compliance professional with a proven track record of developing and implementing effective compliance programs. You should have a thorough understanding of OCC and SEC investment advisor regulations, as well as experience in asset management Compliance.

You should be an effective leader with strong interpersonal skills, able to communicate complex regulatory matters to senior management and investment management personnel. You should also be able to work effectively in a team environment and prioritize tasks to meet deadlines.

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.

We offer a full range of benefits and programs to meet our employee's 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.



  • Chicago, Illinois, United States CIBC Bank Full time

    About the RoleCIBC is seeking a highly skilled Chief Compliance Officer to join our US Private Wealth Management team. As a key member of our compliance team, you will be responsible for developing, implementing, and maintaining a comprehensive compliance program to ensure adherence to regulatory requirements and industry standards.Key...


  • Chicago, Illinois, United States CIBC Full time

    About the RoleWe are seeking a highly skilled Chief Compliance Officer to join our team at CIBC Private Wealth Management. As a key member of our leadership team, you will be responsible for developing and implementing an effective compliance program to ensure that our business units operate in accordance with regulatory requirements.Key...

  • Private Banker

    4 weeks ago


    Chicago, Illinois, United States CIBC Full time

    About the RoleWe are seeking a highly skilled Private Banker to join our team at CIBC. As a Private Banker, you will be responsible for building and maintaining relationships with high net worth and ultra-high net worth clients, providing them with tailored financial solutions and expert advice.Key ResponsibilitiesEstablish and maintain relationships with...


  • Chicago, Illinois, United States CIBC Full time

    About the RoleWe are seeking a highly skilled Business Development Officer to join our team at CIBC. As a key member of our organization, you will be responsible for identifying and pursuing new business opportunities with high net worth individuals, family offices, endowments, and foundations.Key ResponsibilitiesDevelop and execute business development...


  • Chicago, Illinois, United States CIBC Full time

    About the RoleWe are seeking a highly skilled Business Development Officer to join our team at CIBC. As a key member of our organization, you will be responsible for creating new business opportunities with high net worth individuals, family offices, endowments, and foundations.Key ResponsibilitiesContribute to the growth of new revenues through the...


  • Chicago, Illinois, United States CIBC US Full time

    About the RoleWe are seeking a highly skilled Records Management Consultant to join our team at CIBC US. As a key member of our Records Management Office, you will play a critical role in ensuring the proper handling of our records for regulatory and operational requirements.Key ResponsibilitiesCollaborate with internal clients to manage both hard copy and...


  • Chicago, Illinois, United States CIBC Bank Full time

    Job Title: Director of Business ManagementWe are seeking a highly skilled and experienced Director of Business Management to join our team at CIBC Bank. As a key member of our Private Wealth Management business, you will play a critical role in driving strategic goals and implementing initiatives that support our vision to be the go-to wealth management firm...


  • Chicago, Illinois, United States Oxford Financial Group, Ltd. Full time

    Job Title: Chief Compliance OfficerOxford Financial Group, Ltd. is seeking a highly skilled Chief Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring our compliance with SEC regulatory rules and leading our compliance team in their activities.Key Responsibilities:Develop and oversee the compliance...


  • Chicago, Illinois, United States CIBC Full time

    We're building a relationship-oriented bank for the modern world, where talented professionals can thrive and make a meaningful impact.At CIBC, we're dedicated to creating an inclusive environment where all team members and clients feel like they belong. We're committed to diversity, equity, and inclusion, and we're seeking applicants with a wide range of...


  • Chicago, Illinois, United States Oxford Financial Group, Ltd. Full time

    Job Title: Chief Compliance OfficerOxford Financial Group, Ltd. is seeking a highly skilled Chief Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring our compliance with regulatory rules and leading our compliance team in their activities.Key Responsibilities:Develop and oversee the compliance...


  • Chicago, Illinois, United States Oxford Financial Group, Ltd. Full time

    Chief Compliance OfficerOxford Financial Group, Ltd. is seeking a highly skilled Chief Compliance Officer to join our team. This role is responsible for ensuring the company's compliance with regulatory requirements and leading the compliance team in its activities.Key Responsibilities:Develop and oversee the compliance program, including the annual risk...

  • Wealth Strategist

    4 weeks ago


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

    Unlock Your Potential as a Wealth StrategistAt Corient Private Wealth LLC, we're seeking a talented and motivated individual to join our team as a Wealth Strategist. As a key member of our team, you'll have the opportunity to work with high-net-worth individuals, families, and high achievers to help them achieve their financial goals.Responsibilities:Design...


  • Chicago, Illinois, United States CIBC Full time

    About the RoleWe are seeking a highly skilled and experienced Client Service Manager to join our team at CIBC. As a Client Service Manager, you will be responsible for building and maintaining strong relationships with our clients, providing exceptional customer service, and ensuring that their needs are met in a timely and professional manner.Key...


  • Chicago, Illinois, United States StoneX Group Full time

    Job Title: Chief Compliance OfficerStoneX Group is seeking a highly experienced Chief Compliance Officer to lead our swap dealer compliance program. As a key member of our leadership team, you will be responsible for ensuring our compliance with applicable rules and regulations.Key Responsibilities:Lead the oversight of the swap dealer compliance program,...


  • Chicago, Illinois, United States CIBC Full time

    About the RoleCIBC is seeking a highly skilled Technology PMO Process Lead to join our US TI&I PMO team. As a key member of our organization, you will be responsible for leading and enhancing the processes and systems used to provide portfolio management and project management functions.Key ResponsibilitiesLead and support US TI&I PMO project managers to...

  • Senior Auditor

    4 weeks ago


    Chicago, Illinois, United States CIBC Full time

    About the RoleWe are seeking a highly skilled Senior Auditor to join our team at CIBC. As a Senior Auditor, you will be responsible for conducting risk-focused audits, advising business units on internal controls, and promoting compliance with CIBC policies and procedures.Key ResponsibilitiesConduct risk-focused audits to identify and mitigate potential...


  • Chicago, Illinois, United States CIBC Full time

    About the RoleWe're seeking a highly skilled Systems Engineer to join our US Infrastructure Operations team. As a key member of our team, you will be responsible for administering our telemetry platform, ensuring its smooth operation and optimal performance.Key ResponsibilitiesCollaborate with management, cloud and platform teams, application developers, and...


  • Chicago, Illinois, United States CIBC Full time

    Job Title: Regulatory Reporting Quality Assurance ManagerCIBC is seeking a highly skilled Regulatory Reporting Quality Assurance Manager to lead our regulatory reporting quality assurance program. As a key member of our team, you will be responsible for ensuring the accuracy, completeness, and timeliness of our regulatory reporting submissions.Key...


  • Chicago, Illinois, United States CIBC Full time

    Job Title: Community Development Relationship ManagerWe are seeking a highly motivated and experienced Community Development Relationship Manager to join our team at CIBC. As a key member of our Community Development team, you will be responsible for building and maintaining relationships with small businesses in the Chicagoland West Suburban communities.Key...


  • Chicago, Illinois, United States CIBC Full time

    About the RoleWe are seeking a highly skilled Operational Risk Management Process and Controls Senior Manager to join our team at CIBC. As a key member of our risk management team, you will be responsible for reviewing, analyzing, and reporting process, risk, and control data to inform business decisions and drive sound risk management practices.Key...