US Global Markets Fixed Income Compliance Officer

Job Summary Responsible for implementing and overseeing CIBC’s U.S. Fixed Income Compliance Program, ensuring adherence to U.S. securities laws, Treasury regulations, and internal controls. Responsibilities Manage the Fixed Income Compliance Program, including monitoring U.S. Treasury Auctions and coordinating annual certifications. Provide subject matter expertise on U.S. securities laws, FINRA rules, and Treasury regulations. Offer regulatory advice to firm management, support functions, and fixed‑income business lines. Create and map controls to regulatory obligations used in risk assessments. Perform risk assessments on fixed‑income lines of business. Train business line and support staff on rules and regulations including Treasury auctions and redemption operations. Draft policies and procedures relating to the U.S. broker‑dealer, focusing on Treasury market policies. Support ongoing regulatory matters in U.S. capital markets, including Fixed Income sales and trading. Collaborate with Technology, Compliance Management, Infrastructure, U.S. Legal, auditors, and regulators to evaluate and enhance compliance systems. Qualifications Bachelor’s degree required; Juris Doctor preferred. Strong knowledge of U.S. securities laws, Treasury regulations, and broker‑dealer rules. In‑depth understanding of the U.S. Treasury auction process. Experience in risk assessment and policy development in a regulated financial environment. Strong written and verbal communication skills. Series7 and 63 licenses preferred. Proficiency with Microsoft Excel, PowerPoint, SharePoint, and Word. Cross‑Functional Relationships Technology – evaluate systems to meet regulatory requirements. Compliance Management – collaborate on new rule implementation. Infrastructure (Finance & Operations) – address control issues. U.S. Legal – obtain interpretive guidance on technical regulatory requirements. External auditors and regulators – assist during exams and audits. Compliance Responsibilities & Duties Ensure all CIBC and line‑of‑business policies and standards are met, including annual training requirements and governance reviews of other employees’ work. Authorities / Decision Rights May recommend changes to business processes to enhance operational efficiency and effectiveness. Working Conditions Normal office environment in New York, NY. Location 300 Madison Avenue, New York, NY – 6th floor. Employment Type Full‑time, regular weekly hours of 40. Compensation & Benefits Base salary range: $255,000 for the New York market. Eligible for incentive compensation, discretionary bonus, 401(k), and a comprehensive benefits package including medical, dental, vision, health savings account, life and disability insurance, paid time off, holidays, and additional perks. EEO & Inclusion Statement CIBC is committed to creating an inclusive environment for all employees and clients. We welcome applicants of all abilities and provide an accessible candidate experience. #J-18808-Ljbffr Canadian Imperial Bank of Commerce