Compliance Program Specialist - Chicago, United States - CIBC

CIBC

Verified Company

Chicago, United States

3 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

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

Compliance Program Senior Consultant

Job Description Summary

The Compliance Program Senior Consultant is responsible for conducting reviews of regulatory compliance activities, assisting the Compliance Programs Manager with Compliance Policy Administration, Outside Business Activity disclosures, Gift & Entertainment reviews, Compliance Exam Quality Reviews and ad hoc project tasks including implementation and roll out of software platforms and automated reporting solutions applicable to the position.

The role applies business acumen in communicating in a timely and appropriate manner with senior management on an individual basis.

The Compliance Program Senior Consultant will be reporting on activity using existing dashboards and developing additional reporting as needed, including any required data analysis and process diagrams taking into account the needs of management at multiple layers up to and including senior leadership.

The Compliance Program Senior Consultant will also identify and review incidents of regulatory non-compliance, assessing the impact and determining the required course of action including escalation.

The role uses independent judgement to determine methods and approaches to work, building advisory relationships with lines of business to understand the strategic priorities and increase awareness of compliance.

What You'll Be Doing

The Compliance Officer for US Compliance Programs is accountable to the Compliance Program Manager to support the ongoing review and documentation of disclosures made by CIBC employees to ensure compliance of the CIBC and regulatory policies, and support the process of written policy administration to assist the timely review and socialization of all changes to the written policies and standards owned by the Compliance Program.

How You'll Succeed- Be able to work independently with a minimum of direction over your regular responsibilities.- Provide clear and professional communication with employees at all levels of management including sensitive and confidential information.- Assist the US Compliance team by monitoring the status of Policy and Procedure reviews and maintaining the record retention of documentation required by CIBC policy and regulatory requirements.- Ensure the processing of Outside Business and Investment Activity (OBA) disclosures for timely approvals including coordinating with other areas of the Compliance Team.- Review of Gift and Entertainment reporting to ensure employees are following company policies.- Compile and submit timely reporting of OBA requests and gift and entertainment disclosed, including the escalation of any violations to CIBC policies.- Support Compliance Program to ensure activities meet CIBC policies and regulatory requirements.- Work closely with the supervisors and reporting areas to support the analysis of data collected by the review processes.- Quality Review and software implementation support.

Who You Are

Values matter to you. You bring your real self to work, and you live our values - trust, teamwork and accountability.

You can demonstrate experience with:

Enjoy working in a small team working environment in Compliance Programs while contributing to the larger US Compliance Team.
Experience with compliance risk management or related financial services with 5+ years of experience reviewing activities for the alignment to company policy and regulatory requirements.
Excellent oral and written communication skills; must be able to describe policy, clearly communicate the results of reviews, and share due date requirements with other CIBC employees.
Strong organizational and time management skills; able to meet deadlines with sufficient planning and mínimal supervision.
Proficiency with Excel spreadsheets including ability with pivot tables.
Proficiency with PowerPoint including preparation and design of corporate reporting.
Experience with the Microsoft Office suite of products including Outlook, Word, and Teams.
Experience with PowerBI or Tableau business analytics tools, or similar, is a plus.
Experience using My Compliance Office or similar compliance software is a plus.
Strong relationship management skills and teamorientation.
You embrace and champion change. You'll continuously evolve your thinking and the way you work in order to deliver your best.
Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
You're digitally savvy. You seek out innovative solutions and embra