Apply compliance testing expertise at CIBC in Toronto, with hybrid flexibility of one to three onsite days weekly. Assess wealth regulatory controls.

As a Regulatory Compliance Examiner, you will execute complex examinations across CIBC Asset Management and CIRO dealer activities. You will assess process and control design, operating effectiveness, and regulatory or operational risk. The work supports remediation, regulatory oversight, and continuous improvement within CEEP.

Key Responsibilities:

- Execute thorough Wealth Compliance examinations across regulated activities
- Assess processes and controls mitigating regulatory and operational risk
- Review remediation plans and validate addressed deficiencies
- Monitor CSA instruments, CIRO rules, and regulatory developments
- Communicate findings with Compliance, Legal, Risk, and business partners

Requirements:

- Undergraduate degree in a related field
- Experience in wealth compliance, testing, examination, audit, or oversight
- Canadian Securities Course and Conduct and Practices Handbook Course
- Ability to analyze regulations, policies, and procedures
- Academic knowledge of wealth management

Use regulatory compliance testing, examination, and analytical communication skills to strengthen CIBC’s wealth oversight in Toronto’s hybrid workplace.

📌 Regulatory Compliance Examiner Wealth (Toronto)
🏢 CIBC
📍 Toronto