Compliance Associate
Description
This role supports the Compliance division's activities within Japan and other Asia Pacific offices, focusing on Capital Markets Compliance. The primary goal is to ensure adherence to regulatory requirements, mitigate regulatory risk, and provide high-quality, timely, and innovative compliance services related to prudential standards, investor protection, and capital market trading practices.
What We're Looking For
Support remedial actions and ad-hoc compliance projects with firm-wide and cross-functional impacts.
Coordinate with compliance officers and stakeholders across CIBC's regions and head office.
Assist in implementing compliance control-related risk assessments and documentation.
Monitor regulatory circulars and draft compliance correspondences.
Prepare regulatory questionnaires, surveys, compliance risk assessment reports, and presentation materials.
Monitor and update registration records with KLFB, JSDA, Tokyo Metropolitan Government, and Continuing Professional Training requirements.
Monitor staff trading activities, gifts and entertainment, and other conflicts management.
Comply with all applicable CIBC and Line of Business policies, standards, guidelines, and controls.
Ideal Candidate
Bachelor's degree with professional qualifications or majors in finance, accounting, or law preferred.
JICPA professional qualification is an advantage.
Strong working knowledge of Japanese securities laws and regulations.
Strong working knowledge of risk assessment for controls and processes.
Advanced working knowledge of Microsoft Office applications.
Project management experience is an asset.
Minimum Education
Bachelor's Degree
Hard Skills
Soft Skills
Work Hours
36.25 hours/week
Benefits
Comprehensive health and dental coverage, defined benefit pension plan, employee share purchase plan, wellness programs, and flexible work arrangements.
Special Commitments
Must be legally eligible to work at the specified location(s) and, where applicable, must have a valid work or study permit.
About the Company
Canadian Imperial Bank of Commerce (CIBC)
CIBC is a leading North American financial institution with 14 million personal banking, business, public sector, and institutional clients. It offers a full range of advice, solutions, and services through its leading digital banking network and locations across Canada, the U.S., and around the world.
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