Director, Investment Banking Compliance (New York)

What You’ll Be Doing

The Investment Banking Compliance Officer will serve as a strategic partner to the business and internal stakeholders, advising on regulatory risk, transaction execution, and control frameworks for Investment Banking. You will bridge front‑office strategy with regulatory and governance considerations, delivering actionable insights that support complex transactions, market activity, and business growth. You will collaborate with Sales & Trading, Investment Banking, Legal, Risk, Compliance, and Operations teams to ensure transactions align with global regulatory requirements. Your responsibilities include leading risk assessments, enhancing governance frameworks, and providing guidance on market structure and trading conduct.

How You’ll Succeed

• Advise corporate and financial institution clients on regulatory considerations impacting capital markets transactions, including debt capital and equity offerings, derivatives strategies, and structured products.
• Review Watch and Restricted List surveillance reports to identify suspicious or prohibited transactions.
• Maintain the U.S. portion of CIBC’s Global Watch and Restricted Lists, coordinating with U.S. Investment Banking, Corporate Credit and Capital Markets staff.
• Prepare management information for the control room and other internal reporting.
• Partner with Sales & Trading, Investment Banking and Legal teams to evaluate transaction structures, ensuring alignment with SEC, SRO, and global regulatory requirements.
• Conduct diligence on trading activity, supervisory frameworks, and control environments as part of transaction advisory and client engagements.
• Develop and enhance governance frameworks, policies, and supervisory procedures to support capital markets activities and mitigate regulatory risk.
• Review and prepare training materials and conduct training for compliance and business teams as required.
• Advise on remediation strategies and control enhancements in response to regulatory findings, due diligence outcomes, or transaction‑related risks.
• Support senior client discussions and internal committees by delivering insights on regulatory trends, enforcement developments, and market best practices.
• Collaborate cross‑functionally with Risk, Compliance, and Operations to align advisory recommendations with business strategy and execution capabilities.
• Provide support with ongoing regulatory matters within U.S. Capital Markets.
• Complete compliance risk assessments for the businesses.
• Create and map controls to regulatory obligations used in risk assessments.

Who You Are

• Strong interpersonal and written/verbal communication skills.
• Bachelor’s degree; J.D. preferred.
• Strong technical skills in Microsoft Excel, Powerpoint, Sharepoint, Word.
• Comprehensive understanding of U.S. regulatory landscape, private‑side business activities relating to Investment Banking, Corporate Banking, and Debt Capital Markets.
• Excellent communication skills, with the ability to translate complex regulatory concepts into business‑focused advice.
• Series 7, 63 preferred (24 license a plus).

Cross Functional Relationships

• Technology – continually evaluate and enhance systems to address regulatory requirements and surveillance reports.
• Compliance Management – collaborate on potential regulatory issues and new rule requirements.
• Infrastructure support groups (e.g., Finance and Operations) – collaborate on control issues.
• U.S. Legal – seek interpretive guidance on technical regulatory requirements.
• U.S. regulators and CIBC Internal Audit staff – during regulatory exams and audits.

Compliance Requirements/Responsibilities

• As an employee of CIBC, you must comply with all applicable CIBC and Line of Business policies, standards, guidelines, and controls.
• As a Compliance Officer, you are accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements.
• As an employee of CIBC, you must complete all annual training requirements.
• Values matter to you. You bring your real self to work and live our values – trust, teamwork, and accountability.

What You Need To Know

• CIBC is committed to creating an inclusive environment where all team members and clients feel like they belong. We seek applicants with a wide range of abilities and provide an accessible candidate experience. If you need accommodation, please contact View email address on apply.placed-app.com.
• You must be legally eligible to work at the location(s) specified above and, where applicable, must have a valid work or study permit.
• We may ask you to complete an attribute‑based assessment and other skill tests (such as simulation, coding, MS Office). Our goal for the 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.

Job Location

NY – New York, 300 Madison Ave Fl 5

Employment Type

Regular

Weekly Hours

40

Skills

Capital Markets, Decision Making, Judgement, Process Improvements, Quality Assurance (QA), Regulatory Compliance, Risk Assessments, Strategic Objectives, Total Rewards

Compensation and Benefits

The role has an expected salary range of $150,000 – 200,000 for the New York, NY market based on experience, qualifications, and location of the position. 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. CIBC offers a full range of benefits and programs to meet employee needs, including medical, dental, vision, Health Savings Account, life insurance, disability, and other insurance plans; paid time off (including sick leave, parental leave, and vacation); holidays; and a 401(k) plan.