Description:
What You’ll Be Doing
You’ll be a critical point between our clients and CIBC teams with ensuring that we are providing best in industry client service. As a Senior Associate you will be investigating complaints of a regulatory nature by clients of CIBC Wealth Management and CIBC Retail Markets and providing a written response. Other activities include recommending disciplinary action and responding to regulatory requests.
How You’ll Succeed
- Regulatory Management- Respond to queries, both verbal and written, received from CIBC Wealth Management retail branches. Investigate and respond to client complaints. Provide clients with a written response within the prescribed regulatory guideline of 90 calendar days. Prepare recommendations (if applicable) for disciplinary action against registrants as a result of a complaint.
- Collaborate - Provide recommendations to the Manager of Regulatory Complaints and Branch Managers for client resolutions. Frequent contact with management, CIBC governance partners, and external regulators. Liaise with regulators, internal and external counsel and Ombudsman's Office regarding escalated complaints and legal actions.
- Relationship Management- Build relationships with the Wealth Management Compliance Department and CIBC governance partners. Maintain professional and productive relationships with LOB management and staff, CIBC governance partners, and other risk groups in order to promote and strengthen internal controls and governance.
- Operational Support - Identify, assess and advise on regulatory/business issues that fall outside of existing policy and procedures: escalate to Wealth Management Compliance management as required.
Who You Are
- You're a certified professional. You have successfully completed the Canadian Securities Course, the Conduct and Practices Handbook, and the Branch Managers Course (or Partners, Directors and Officers Course) is required within three months of hire.
- You can demonstrate experience in. You have experience with the regulatory and compliance environment. A minimum of 3 years’ overall experience in the industry, with a focus in Wealth Management and Retail Markets.
- You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it's the right thing to do.
- You understand that success is in the details. You notice things that others don't. Your critical thinking skills help to inform your decision making.
- You're fluent in both French and English.
- Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.