Job OverviewOfficer, Regulatory Supervision – Toronto, ON – Full time, 37.5 hours per week.ResponsibilitiesEnsure an effective governance and control environment within designated branches by monitoring and advising on trade activity, ensuring adherence to industry regulations and ethical standards.Fully understand and enforce all trade and account supervision requirements, ensuring compliance with internal and external timeframes and standards.Support and assist registered supervisors in the ongoing supervision of regulatory and compliance activities (daily, monthly and periodic) across the branch.Review trading and account activities including daily commission runs (options), universal market integrity rules, monthly statements, portfolio partner quarterly activity, discretionary accounts, CRM testing, leveraged & inverse ETFs, insurance large case reviews, in‑force policy, individual pension plans, etc.Review new accounts (including short options) and account updates.Assist in outgoing correspondence (email, fax, etc.) and marketing communications.Support the resolution of service complaints and sales practice complaints.CompensationBase salary range: $66,090 to $85,000 (annualized).



Includes participation in an annual discretionary incentive/bonus program.Qualifications and ExperienceCertified professional with completion of the Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH).Experience in financial services and brokerage industry in a similar regulatory supervision capacity.Knowledge of policies and procedures related to trade execution and regulatory risk requirements, procedures, and controls.Solid understanding of the CIBC Wood Gundy business and the regulatory and compliance setting surrounding the branch network.Effective interpersonal, coaching, training, communication and time‑management skills.Passion for people and relationships, commitment to client‑first mindset, and ability to operate with trust, teamwork and accountability.Required SkillsBusiness MonitoringConflict ResolutionCustomer QueriesCompliance & Policy ProceduresPrioritizationRetail CreditTrade ControlLegal RequirementsApplicants must be legally eligible to work at the Toronto, ON location and, where applicable, have a valid work or study permit.Equal Opportunity StatementCIBC is committed to creating an inclusive environment where all team members and clients feel they belong. We seek applicants with a wide range of abilities and provide an accessible candidate experience. If you need accommodation, please contact [email protected].#J-18808-Ljbffr

📌 Officer, Regulatory Supervision (Winnipeg) - C$66,090 - C$85,000 A Year
🏢 CIBC Wood Gundy
📍 Winnipeg