We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute. To learn more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What you'll be doing** As part of the Capital Markets Compliance team, you will be responsible for reviewing and conducting testing of Research reports, communications between Research personnel and investment bankers to identify suspicious or unusual activities, which may suggest a breach of CIBC’s information barrier procedures, policies or regulatory requirements. You will compile and maintain the conflict of interest disclosures required for our Research reports. You will manage and maintain the records of the Capital Markets CIRO Continuing Education program. In this role, you will also be providing advice on Compliance related issues to the Research team and chaperoning the communications between Research and investment banking. _At CIBC we enable the work environment most optimal for you to thrive in your role._ _You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote._ **How you'll succeed** + **Advisory** - You will be assisting the Director and providing advice on Compliance related issues to the Research team. + **Surveillance** – You will review and conduct testing of research reports and electronic communications for compliance with regulatory requirements as well as CIBC World Market’s policies and procedures. You will investigate, document and report any non-Compliance activities and recommend appropriate courses of action to Compliance management for consideration. + **Electronic Communication Chaperoning** - You will monitor communications between Research personnel and investment bankers to ensure the communications are in compliance with regulatory requirements and internal policies. + **Conflict of Interest Disclosure** – You will maintain the required conflict of interest disclosures for Research reports to ensure compliance with regulatory requirements. + **Capital Markets CIRO CE Program** – You will be providing advice on CIRO CE requirements to the Capital Markets registrants, maintaining the records and sending out reminders and status updates. **Who you are** + **You can demonstrate experience in** the securities industry (3+ years), with strong knowledge of equity research reports, securities trading, compliance practices, procedures and principles to provide advice and to perform in-depth analysis. + **You have** an undergraduate degree, preferably with a finance or business focus, and have completed CSI’s Canadian Securities Course. + **You have a strong knowledge** of Microsoft Office, including the use of Word, PowerPoint, Excel and Outlook, and a working knowledge of ADP. + **You have strong communication and interpersonal skills** to communicate and influence assertively, clearly and concisely, both in writing and verbally. + **Your influence makes a difference.** You know that relationships and networks are essential to success. You inspire outcomes by sharing your expertise. + **You know that details matter.** You notice things that others don't. Your critical thinking skills help to inform your decision making. + **You look beyond the moment.** You know what you do will make a difference today and tomorrow. You look for new opportunities to define what's possible. + **Values matter to you** . You bring your real self to work and you live our values - trust, teamwork, and accountability. **What CIBC Offers** At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. + We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program. + Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients. + We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development. *Subject to plan and program terms and conditions **What you need to know** + CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com + You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit. + We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, French proficiency, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us. **Job Location** Toronto-161 Bay St., 10th **Employment Type** Regular **Weekly Hours** 37.5 **Skills** Accountability, Banking, Ensure Compliance, Regulatory Compliance, Regulatory Requirements At CIBC, we are in business to help our clients, employees and shareholders achieve what is important to them. Our ability to create value for all CIBC stakeholders is driven by a business culture based on common values: Trust, Teamwork and Accountability. Working with CIBC makes you a part of a work environment committed to our clients, employees and communities - a place where you can excel. Every day, our 44,000 employees help our clients achieve their financial goals, because what matters to our clients, matters to us.