US Global Markets Fixed Income Compliance Officer

What You’ll Be Doing

The US Fixed Income Compliance Officer is responsible for performing important advisory and monitoring functions to support CIBC’s U.S. Fixed Income Compliance program. The Compliance Officer is responsible for the implementation and oversight of CIBC’s U.S. Fixed Income Compliance Program. The position requires strong knowledge of U.S. securities laws, the Department of the Treasury rules and regulations, and the ability to interact with senior managers and U.S. regulators.

How You’ll Succeed

• Managing CIBC’s Fixed Income Compliance Program, including monitoring the U.S. Treasury Auctions, coordinating the required annual certifications, training of relevant stakeholders, and being the point of contact for all related issues and matters.
• Providing subject matter expertise on U.S. securities laws, FINRA rules and U.S. Department of Treasury rules and regulations.
• Providing regulatory advice and guidance to firm management, support functions, and business lines within Fixed Income.
• Create and map controls to regulatory obligations used in risk Assessments.
• Perform risk assessments on fixed income lines of business.
• Training business line and support staff on rules and regulations, including the U.S. Treasury Auctions and Redemption Operations.
• Drafting key policies and procedures relating to the U.S. broker-dealer, with a focus on policies relating to the U.S. Treasury markets.
• Providing support with ongoing regulatory matters within U.S. Capital Markets, including, Fixed Income Sales and Trading.

Cross Functional Relationships

• Technology in order to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria;
• Compliance Management to collaborate with potential regulatory issues and net new rule requirements;
• Infrastructure support groups (e.g., Finance and Operations) to collaborate on control issues;
• US Legal to seek interpretive guidance on technical regulatory requirements;
• US regulators and CIBC Internal Audit staff during regulatory exams and audits

Compliance requirements/Responsibilities

As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls. As a Compliance Officer, this job is accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements.

Awards/Decision Rights

As a key contributor to the business unit, this job has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness.

Who You Are

• Strong interpersonal and written/verbal communication skills
• Bachelor’s degree; J.D. preferred
• Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, Word;
• Strong interpersonal skills in order to maintain working relationships;
• Excellent verbal and writing skills;
• Series 7, 63 preferred (24 license a plus);
• Understanding of U.S. financial regulatory landscape, with an emphasis on U.S. broker-dealer regulations;
• In depth understanding of the U.S. Auction process and requirements.