Head of Compliance, Europe

3 weeks ago

London, United Kingdom CIBC Full time

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.

At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit

BUSINESS UNIT DESCRIPTION

Risk Management is led by Senior Executive Vice-President and Chief Risk Officer and is accountable on matters relating to the independent oversight of the management of risks inherent to CIBC’s activities. These risks include but are not limited to ensuring that effective processes are in place for the identification, management, measurement, monitoring and control of operational, reputation and legal, strategic, regulatory, market, credit, investment and liquidity risk, collectively “CIBC Risk”, incurred by CIBC’s retail and wholesale businesses, infrastructure and corporate governance groups.

JOB PURPOSE

Complementing the specific responsibilities below, the purpose of this role is to discharge the

Compliance Department’s mandate within the European region. The Head of Compliance, Europe, will lead the development and implementation of the Compliance Department’s regulatory compliance program in Europe, including providing independent oversight of regulatory compliance, assess the adequacy and effectiveness of regulatory compliance controls and the status of regulatory compliance and follow up with management on regulatory compliance issues identified The Head of Compliance, Europe must be pro-active and highly responsive in a business environment where decisions have to be made on a time-sensitive basis and where there is not full information. The role is also expected to keep abreast of developments in an ever-changing regulatory environment and their impact on the business.

As a member of the Compliance Department, the Head of Compliance, Europe has the authority to access

CIBC’s records, information and personnel in order to fulfill the responsibilities of this role.

KEY ACCOUNTABILITIES
- To ensure that an effective compliance program is in place within CIBC Capital Markets - Europe to identify regulatory requirements and develop update and maintain compliance manual, guidelines policies and procedures to satisfy those requirements.
- To review draft legislation and/or policies to assess the impact on relevant London businesses, keep CIBC Capital Markets - Europe informed and advise them on appropriate changes to business models, practices, controls or processes required to comply.
- To monitor activities for compliance and escalate significant regulatory compliance issues or material incidents of non-compliance to senior management of CIBC Capital Markets - Europe and the Vice
- President and Global Head, Capital Markets Compliance promptly including providing recommendations for corrective action.

What you need to know
- You need to be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit

Job Location

150 Cheapside, London, UK

Employment Type

Regular

Weekly Hours

35

**Skills**:
Business, Business Models, Capital Markets, Company Policies, Compliance Programs, Controls Compliance, Ensure Compliance, Investments, Leadership, People Management, Regulatory Compliance, Regulatory Environment, Regulatory Issues, Regulatory Requirements, Relationship Management, Risk Assessments, Risk Compliance, Risk Management and Mitigation, Strategic, Strategic Advisory

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