Compliance Director leading compliance for payment capabilities and cash management at Fidelity Brokerage Services. Ensure regulatory adherence and support diverse products and services within the firm.
About the role
- Senior Manager, Compliance managing regulatory compliance and risk oversight for CIBC's financial operations. Collaborating with business partners and ensuring adherence to laws and regulations within Capital Markets and Wealth Management.
Responsibilities
- Identify and maintain an inventory of laws, regulations, and guidance related to capital markets / wealth management operations regulatory requirements
- Monitor regulatory changes and work with business units and functional groups to ensure policies / procedures / controls are in place to comply with new regulatory changes
- Perform risk assessment of applicable regulatory requirements in accordance with the established methodology and facilitate the monitoring, reporting and management of those risks
- Build and maintain strong working relationships with business partners by providing support, advise and effective challenge when needed
- Oversee and challenge the effectiveness of first line risk mitigation activities to ensure controls, policies, and procedures are designed to effectively manage and mitigate compliance risks
- Ensure awareness of regulatory compliance deficiencies and control testing results impacting RCM controls within CFC’s oversight
- Support reporting requirements related to the effectiveness of RCM activities
- Develop communication plans, job aids, guidelines, templates and other educational materials
Requirements
- Bachelor’s degree in accounting, finance or other business-related area
- Minimum 5+ years in Capital Markets and/or Wealth Management Operations experience with a large bank or financial services organization
- Familiarity with Federal and state laws and regulations applicable to one or more of the following areas: derivative reporting, securities clearing, settlement, custody, segregations, etc.
- Familiarity with risk and control methodologies or managing risk/controls
- Strong research, analysis, problem-solving, and decision-making skills with ability to identify risks and issues for escalation to management, as necessary
- Excellent interpersonal skills, including verbal and written communications
- Advanced Excel, Word, and PowerPoint skills
Benefits
- Medical
- Dental
- Vision
- Health Savings Account
- Life Insurance
- Disability
- Other Insurance Plans
- Paid Time Off (including Sick Leave, Parental Leave and Vacation)
- Holidays
- 401(k)
- Other special perks reserved for our team members
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