Job Description
CIBC is seeking a Senior Associate for its Regulatory Complaints Team in Toronto. Utilize your expertise in regulatory compliance to investigate client complaints and recommend corrective actions.
In this senior role, you will engage with multi-segment complaints, apply your deep understanding of regulatory requirements, and assess risk in high-stakes processes. Strong problem-solving skills are essential as you analyze compliance issues while managing relationships with clients and regulatory bodies.
Key Responsibilities:
• Investigate client complaints and provide written responses
• Conduct detailed risk assessments on control gaps
• Participate in governance and regulatory projects
• Liaise with internal and external stakeholders
• Document findings and prepare comprehensive reports
Requirements:
• Experience in regulatory supervision or investment compliance
• Accreditation in Canadian Securities Course (CSC)
• Bilingual English & French is an asse...
In this senior role, you will engage with multi-segment complaints, apply your deep understanding of regulatory requirements, and assess risk in high-stakes processes. Strong problem-solving skills are essential as you analyze compliance issues while managing relationships with clients and regulatory bodies.
Key Responsibilities:
• Investigate client complaints and provide written responses
• Conduct detailed risk assessments on control gaps
• Participate in governance and regulatory projects
• Liaise with internal and external stakeholders
• Document findings and prepare comprehensive reports
Requirements:
• Experience in regulatory supervision or investment compliance
• Accreditation in Canadian Securities Course (CSC)
• Bilingual English & French is an asse...