Regulatory Complaints Senior Associate Role

Elevate your career at CIBC as a Senior Associate in Regulatory Complaints. Leverage your compliance expertise to address client issues and ensure regulatory adherence.
You will be a vital part of CIBC's Regulatory Complaints Team, where you will investigate client complaints by applying your advanced understanding of regulatory processes. Your responsibilities will include making recommendations for corrective actions, performing risk assessments, and documenting your findings clearly. Collaboration with internal teams and regulatory bodies will be crucial to your success.
Key Responsibilities:
• Act as lead investigator for regulatory complaints
• Provide written responses within regulatory timelines
• Map control processes and identify control gaps
• Compile synthesized results of risk assessments
• Support compliance in new project initiatives
Requirements:
• Strong background in investment compliance roles
• Accredited in the Canadian Securities Cours...