Cibc

US Global Markets Fixed Income Compliance Officer

New York, NY

Work authorization requiredDetected 22 days ago

ExpressComplianceExcelAuditingRecruitingCommunicationWritingMicrosoft OfficeSharePointInternal Audit

About the role

We need talented, passionate professionals who are dedicated to doing what's right for our clients.
Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.
The Compliance Officer is responsible for the implementation and oversight of CIBC's U.S. Fixed Income Compliance Program.

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.
Strong interpersonal skills in order to maintain working relationships;.
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.
Providing support with ongoing regulatory matters within U.S. Capital Markets, including, Fixed Income Sales and Trading.
Compliance Management to collaborate with potential regulatory issues and net new rule requirements;
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.

Providing subject matter expertise on U.S. securities laws, FINRA rules and U.S. Department of Treasury rules and regulations.

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
Strong interpersonal and written/verbal communication skills
Bachelor's degree
Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, Word;
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 u nderstanding of the U.S. Auction process and requirements.

Candidates hired to work in other locations will be subject to the pay range associated with that location.
Additional total compensation and benefits details will be provided during the hiring process.
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.

The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component.

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.

This listing is sourced directly from Cibc's careers page and normalized into a canonical job model.