US Global Markets Fixed Income Compliance Officer

What You’ll Be Doing The US Fixed Income Compliance Officer oversees the U.S. Fixed Income Compliance Program, ensuring compliance with U.S. securities laws and Treasury regulations. Responsibilities include monitoring Treasury auctions, certifying annual requirements, training stakeholders, providing regulatory advice, conducting risk assessments, drafting policies, and supporting regulatory matters within U.S. Capital Markets. Responsibilities Manage the Fixed Income Compliance Program, including monitoring U.S. Treasury Auctions and coordinating required annual certifications. Provide subject‑matter expertise on U.S. securities laws, FINRA rules, and Treasury regulations. Offer regulatory advice and guidance 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 key policies and procedures relating to the U.S. broker‑dealer and Treasury markets. Support ongoing regulatory matters within U.S. Capital Markets, including Fixed Income Sales and Trading. Cross‑Functional Relationships Technology teams to evaluate and enhance systems for regulatory requirements. Compliance Management to collaborate on potential regulatory issues and new rule requirements. Infrastructure support groups (e.g., Finance and Operations) for control issues. US Legal for interpretive guidance on technical regulations. US regulators and Internal Audit during regulatory exams and audits. Compliance Requirements / Responsibilities Adhere to all applicable CIBC policies, standards, guidelines, and controls. Review work of others to ensure adherence with CIBC and LOB governance requirements. Complete all annual training requirements. Authorities / Decision Rights Recommend changes to business processes to enhance operational efficiency and effectiveness. Maintain strong interpersonal and written/verbal communication skills. Hold a Bachelor's degree; J.D. is preferred. Have strong technical skills in Microsoft Excel, PowerPoint, SharePoint, and Word. Possess Series 7 and 63 licenses (or equivalent). Understand U.S. financial regulatory landscape, broker‑dealer regulations, and U.S. Auction process requirements. Working Conditions Normal office environment. Compensation & Benefits Expected salary range: $255,000 for the New York, NY market. Eligible for incentive compensation and discretionary bonus. Benefits include Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability Insurance, Paid Time Off (Sick Leave, Parental Leave, Vacation), Holidays, and a 401(k) plan. Job Location NY-New York, 300 Madison Ave, Fl 6 Employment Type Regular Weekly Hours 40 hours per week Skills Communication Compliance Activities Decision Making Process Improvements Quality Assurance (QA) Regulatory Compliance Risk Assessments Strategic Objectives What You Need To Know CIBC is committed to an inclusive environment and provides an accessible candidate experience. Contact View email address on click.appcast.io. You must be legally eligible to work at the specified location and hold a valid work or study permit. The hiring process may include attribute‑based assessment and skills tests. #J-18808-Ljbffr CIBC US