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ethics and compliance officer
CIBC
Sr. Compliance Officer, Asset Management - Investments and Trade Operations
CIBC Toronto, Ontario, Canada
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 CIBC.com What You'll Be Doing As a member of the Commercial Banking and Wealth Management Compliance (CBWMC) team, the Senior Compliance Officer, Asset Management: Investments and Trade Operations will provide independent oversight of compliance with laws and regulations applicable to the investment fund manager and portfolio management/registered investment advisory business activities of CIBC Asset Management Inc. (CAMI), including its CIBC Private Investment Counsel (CPIC) line of business. As a Senior Compliance Officer reporting to the Director, Global Asset Management Compliance, you will advise and report on the adherence to applicable regulatory requirements, corporate policies, practices and acceptable standards of business, ethics and conduct under relevant laws. You will provide timely and proactive advice to help CAMI/CPIC and their leaders fulfill their regulatory compliance responsibilities and achieve their business goals including the preparation of annual compliance reviews and reporting. You will also assist in the design, establishment, and advise on the execution of regulatory compliance testing of CAMI/CPIC’s portfolio management/investment advisory business activities and identify key risk control gaps and deficiencies. At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote. How You’ll Succeed Communication - Communicate effectively with internal partners and regulators. Cleary explain regulatory expectations and necessary changes to business unit procedures or controls to address adherence to Canadian securities regulations. Independently challenge - Follow up on questionable business conduct or regulatory non-compliance items or activities, assess impact and determine courses of action required, including escalations. Active participation - Staying abreast of industry wide regulatory and compliance developments, trends, and best practices, at both the federal and provincial/state level and suggesting methods for implementing changes as necessary. Relationship building – Partner with the business to achieve outcomes which protect our clients and our bank. Who You Are You have demonstrated experience in a compliance, risk management, or legal in the investment or financial services industry. It’s an asset if you have experience within a Private Wealth Management division of a bank. You have a Bachelor’s Degree and knowledge of the Canadian regulatory environment as it relates to Wealth Management. It’s an asset if you have the CSC and have or are working towards a CFA, FRM accreditation/designation. You give meaning to data. You enjoy investigating complex problems, and making sense of information. You're confident in your ability to communicate detailed information in an impactful and practical way. You know that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making. You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it's the right thing to do. Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability. What CIBC Offers At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program. Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients. We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development. Subject to plan and program terms and conditions 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 we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com CIBC is committed to clarity in our hiring process. All roles posted are opportunities we’re actively recruiting for, unless stated otherwise. 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. We may ask you to complete an attribute-based assessment and other skills test (such as simulation, coding, French proficiency). We use artificial intelligence tools during the recruitment process. 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.  
May 26, 2026
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 CIBC.com What You'll Be Doing As a member of the Commercial Banking and Wealth Management Compliance (CBWMC) team, the Senior Compliance Officer, Asset Management: Investments and Trade Operations will provide independent oversight of compliance with laws and regulations applicable to the investment fund manager and portfolio management/registered investment advisory business activities of CIBC Asset Management Inc. (CAMI), including its CIBC Private Investment Counsel (CPIC) line of business. As a Senior Compliance Officer reporting to the Director, Global Asset Management Compliance, you will advise and report on the adherence to applicable regulatory requirements, corporate policies, practices and acceptable standards of business, ethics and conduct under relevant laws. You will provide timely and proactive advice to help CAMI/CPIC and their leaders fulfill their regulatory compliance responsibilities and achieve their business goals including the preparation of annual compliance reviews and reporting. You will also assist in the design, establishment, and advise on the execution of regulatory compliance testing of CAMI/CPIC’s portfolio management/investment advisory business activities and identify key risk control gaps and deficiencies. At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote. How You’ll Succeed Communication - Communicate effectively with internal partners and regulators. Cleary explain regulatory expectations and necessary changes to business unit procedures or controls to address adherence to Canadian securities regulations. Independently challenge - Follow up on questionable business conduct or regulatory non-compliance items or activities, assess impact and determine courses of action required, including escalations. Active participation - Staying abreast of industry wide regulatory and compliance developments, trends, and best practices, at both the federal and provincial/state level and suggesting methods for implementing changes as necessary. Relationship building – Partner with the business to achieve outcomes which protect our clients and our bank. Who You Are You have demonstrated experience in a compliance, risk management, or legal in the investment or financial services industry. It’s an asset if you have experience within a Private Wealth Management division of a bank. You have a Bachelor’s Degree and knowledge of the Canadian regulatory environment as it relates to Wealth Management. It’s an asset if you have the CSC and have or are working towards a CFA, FRM accreditation/designation. You give meaning to data. You enjoy investigating complex problems, and making sense of information. You're confident in your ability to communicate detailed information in an impactful and practical way. You know that details matter. You notice things that others don't. Your critical thinking skills help to inform your decision making. You put our clients first. You engage with purpose to find the right solutions. You go the extra mile, because it's the right thing to do. Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability. What CIBC Offers At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck. We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, defined benefit pension plan*, an employee share purchase plan, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program. Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients. We cultivate a culture where you can express your ambition through initiatives like Purpose Day; a paid day off dedicated for you to use to invest in your growth and development. Subject to plan and program terms and conditions 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 we provide an accessible candidate experience. If you need accommodation, please contact Mailbox.careers-carrieres@cibc.com CIBC is committed to clarity in our hiring process. All roles posted are opportunities we’re actively recruiting for, unless stated otherwise. 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. We may ask you to complete an attribute-based assessment and other skills test (such as simulation, coding, French proficiency). We use artificial intelligence tools during the recruitment process. 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.  
Halifax Regional Municipality
Legal Assistant
Halifax Regional Municipality Halifax, Nova Scotia, Canada
Halifax Regional Municipality is inviting applications for the permanent, full-time position of Legal Assistant to support the Prosecutions Division in Legal Services, part of the Legal & Legislative Services Business Unit. The incumbent for this position should have exceptional attention to detail, act with integrity and have excellent interpersonal skills. Halifax Regional Municipality (HRM) is committed to reflecting the community it serves and recognizing Diversity and Inclusion as one of the Municipality’s core values. We have an Employment Equity Policy, and we welcome applications from African Nova Scotians and Other Racially Visible Persons, Women in occupations or positions where they are underrepresented in the workforce, Indigenous/Aboriginal People, Persons with Disabilities and 2SLGBTQ+ Persons. Applicants are encouraged to self-identify on their electronic application. The Legal Assistant is responsible for a wide variety of legal and administrative duties within the division. General duties include reception support, managing calendars, processing and preparing correspondence, responding to inquiries, interacting with internal clients, external parties, and the general public and opening, closing and processing files for archiving, as well as creating reports and processing invoices and expense claims. Broad and thorough knowledge of legal concepts, practices and principles is essential for this role. In the Team environment of Legal Services, Legal Assistants may be required to work for several lawyers at the same time and also support the overall management of the department including duties such as library maintenance (including book updates) and supply ordering. For the full list of duties and responsibilities associated with this position, please email jobs@halifax.ca for a copy of the full job description. DUTIES AND RESPONSIBILITIES: In the Team environment of Legal Services, in addition to general legal assistant duties, Legal Assistants may be required to have additional expertise in one or more of the following areas of law: Litigation, Prosecutions, Real Property, and Advisory Services (Advisory Services, Corporate/Commercial and/or Real Property). This position is currently dedicated to the Prosecutions division. Prosecution Specific Responsibilities: Provides overall administrative support to Crown Prosecutors including file maintenance, court scheduling, document preparation and assembly Prepares and reviews municipal prosecution and appeal files Process routine disclosure for all prosecution files Tracks court dates and adjournments, validates officer/investigator vacation schedules, manages court appearances, trial follow up work, preparation of weekly application docket, etc. Prepares court documents and arranges for filing and service, as required Responds to inquiries from public, policing agencies, law firms and Provincial Court staff Gathers and maintains appropriate data for preparation of required reports Provides back-up support for Coordinator, Municipal Prosecutions, when required Experience with JEIN considered an asset Reviews and approves insurance withdrawals and makes recommendation to prosecutor in this role, when required QUALIFICATIONS Education and Experience: Legal Assistant or Paralegal diploma from a recognized post-secondary institution Minimum of two years current, related experience in a Legal Assistant role Experience with general litigation, criminal law or prosecutions would be considered an asset Experience with police records or working in a police environment (HRP or RCMP) considered an asset An equivalent combination of education and experience will be considered Technical / Job Specific Knowledge and Abilities: Excellent interpersonal and communications skills, both written and verbal Strong customer service orientation, ability to deal with individuals under stressful situations Excellent writing and proofreading skills with attention to detail, including proper spelling, grammar, and punctuation for complex documentation Time management skills and the ability to prioritize tasks with minimal supervision Proficiency and expertise in the use of current office technology and related software (i.e.: Microsoft Office (Word, Outlook, Excel & PowerPoint), scanner, copier, etc.) Ability to work effectively both independently and on a team on a multitude of tasks in variable situations Knowledge of legal terminology and ability to draft legal documentation as required Understanding of legal reference materials, procedures, and legal filing systems Ensures compliance with court filing practices Strong sense of ethics and the ability to handle sensitive and confidential or private information with tact and discretion; Professional, responsive, and positive work attitude is critical; must be punctual and reliable, resourceful and flexible Knowledge of data privacy laws considered an asset Experience using case management software considered an asset Web-based research skills using reputable and authorized sources. Familiarity with Government and legal web-based search tools, i.e., Property Online, Registry of Joint Stock Companies, JEIN, CanLii, Quicklaw, Westlaw, etc. considered an asset Knowledge of municipal issues, administration and government including council processes and procedures, By-laws, Halifax Regional Municipality Charter, Municipal Government Act, and Civil Procedure Rules considered an asset Thorough knowledge and understanding of court proceedings, appeal processes, statutes, court decisions, ordinances, resolutions, and legal documentation considered an asset Security Clearance Requirements : Applicants may be required to complete an employment security screening check. Please note – Testing may be conducted as a component of the selection process to assess technical and job specific knowledge. Candidates, who are selected for testing, may be tested in a group setting, scheduled at the employer’s discretion. Competencies: Values and Ethics, Organizational Awareness, Customer Service, Communications, Valuing Diversity, Teamwork and Cooperation, Organization and Planning WORK STATUS: Permanent, Full-time HOURS OF WORK: Monday – Friday, 35 hours per week. May require some overtime based on operational requirements SALARY: Non-union NU3 ($51,360-$66,470). Compensation is commensurate with experience and training. WORK LOCATION: 1809 Barrington Street, CIBC Building, 7th Floor, Halifax, NS CLOSING DATE: Applications will be received up to 11:59 pm on Tuesday, January 28, 2025 and must include a cover letter and resumé. We thank all applicants for their interest in this position. Only those applicants selected for interview/testing will be contacted. During the recruitment process, applicants have the right to request accommodation. Applicants invited to participate in an assessment process (such as an interview or testing) and who require accommodation, should discuss their needs with the Recruiter when invited to the assessment process. Qualified HRM retirees may also be considered for competition. In these circumstances, a form of employment may be offered, including term and/or contract employment.  
Jan 15, 2025
Full time
Halifax Regional Municipality is inviting applications for the permanent, full-time position of Legal Assistant to support the Prosecutions Division in Legal Services, part of the Legal & Legislative Services Business Unit. The incumbent for this position should have exceptional attention to detail, act with integrity and have excellent interpersonal skills. Halifax Regional Municipality (HRM) is committed to reflecting the community it serves and recognizing Diversity and Inclusion as one of the Municipality’s core values. We have an Employment Equity Policy, and we welcome applications from African Nova Scotians and Other Racially Visible Persons, Women in occupations or positions where they are underrepresented in the workforce, Indigenous/Aboriginal People, Persons with Disabilities and 2SLGBTQ+ Persons. Applicants are encouraged to self-identify on their electronic application. The Legal Assistant is responsible for a wide variety of legal and administrative duties within the division. General duties include reception support, managing calendars, processing and preparing correspondence, responding to inquiries, interacting with internal clients, external parties, and the general public and opening, closing and processing files for archiving, as well as creating reports and processing invoices and expense claims. Broad and thorough knowledge of legal concepts, practices and principles is essential for this role. In the Team environment of Legal Services, Legal Assistants may be required to work for several lawyers at the same time and also support the overall management of the department including duties such as library maintenance (including book updates) and supply ordering. For the full list of duties and responsibilities associated with this position, please email jobs@halifax.ca for a copy of the full job description. DUTIES AND RESPONSIBILITIES: In the Team environment of Legal Services, in addition to general legal assistant duties, Legal Assistants may be required to have additional expertise in one or more of the following areas of law: Litigation, Prosecutions, Real Property, and Advisory Services (Advisory Services, Corporate/Commercial and/or Real Property). This position is currently dedicated to the Prosecutions division. Prosecution Specific Responsibilities: Provides overall administrative support to Crown Prosecutors including file maintenance, court scheduling, document preparation and assembly Prepares and reviews municipal prosecution and appeal files Process routine disclosure for all prosecution files Tracks court dates and adjournments, validates officer/investigator vacation schedules, manages court appearances, trial follow up work, preparation of weekly application docket, etc. Prepares court documents and arranges for filing and service, as required Responds to inquiries from public, policing agencies, law firms and Provincial Court staff Gathers and maintains appropriate data for preparation of required reports Provides back-up support for Coordinator, Municipal Prosecutions, when required Experience with JEIN considered an asset Reviews and approves insurance withdrawals and makes recommendation to prosecutor in this role, when required QUALIFICATIONS Education and Experience: Legal Assistant or Paralegal diploma from a recognized post-secondary institution Minimum of two years current, related experience in a Legal Assistant role Experience with general litigation, criminal law or prosecutions would be considered an asset Experience with police records or working in a police environment (HRP or RCMP) considered an asset An equivalent combination of education and experience will be considered Technical / Job Specific Knowledge and Abilities: Excellent interpersonal and communications skills, both written and verbal Strong customer service orientation, ability to deal with individuals under stressful situations Excellent writing and proofreading skills with attention to detail, including proper spelling, grammar, and punctuation for complex documentation Time management skills and the ability to prioritize tasks with minimal supervision Proficiency and expertise in the use of current office technology and related software (i.e.: Microsoft Office (Word, Outlook, Excel & PowerPoint), scanner, copier, etc.) Ability to work effectively both independently and on a team on a multitude of tasks in variable situations Knowledge of legal terminology and ability to draft legal documentation as required Understanding of legal reference materials, procedures, and legal filing systems Ensures compliance with court filing practices Strong sense of ethics and the ability to handle sensitive and confidential or private information with tact and discretion; Professional, responsive, and positive work attitude is critical; must be punctual and reliable, resourceful and flexible Knowledge of data privacy laws considered an asset Experience using case management software considered an asset Web-based research skills using reputable and authorized sources. Familiarity with Government and legal web-based search tools, i.e., Property Online, Registry of Joint Stock Companies, JEIN, CanLii, Quicklaw, Westlaw, etc. considered an asset Knowledge of municipal issues, administration and government including council processes and procedures, By-laws, Halifax Regional Municipality Charter, Municipal Government Act, and Civil Procedure Rules considered an asset Thorough knowledge and understanding of court proceedings, appeal processes, statutes, court decisions, ordinances, resolutions, and legal documentation considered an asset Security Clearance Requirements : Applicants may be required to complete an employment security screening check. Please note – Testing may be conducted as a component of the selection process to assess technical and job specific knowledge. Candidates, who are selected for testing, may be tested in a group setting, scheduled at the employer’s discretion. Competencies: Values and Ethics, Organizational Awareness, Customer Service, Communications, Valuing Diversity, Teamwork and Cooperation, Organization and Planning WORK STATUS: Permanent, Full-time HOURS OF WORK: Monday – Friday, 35 hours per week. May require some overtime based on operational requirements SALARY: Non-union NU3 ($51,360-$66,470). Compensation is commensurate with experience and training. WORK LOCATION: 1809 Barrington Street, CIBC Building, 7th Floor, Halifax, NS CLOSING DATE: Applications will be received up to 11:59 pm on Tuesday, January 28, 2025 and must include a cover letter and resumé. We thank all applicants for their interest in this position. Only those applicants selected for interview/testing will be contacted. During the recruitment process, applicants have the right to request accommodation. Applicants invited to participate in an assessment process (such as an interview or testing) and who require accommodation, should discuss their needs with the Recruiter when invited to the assessment process. Qualified HRM retirees may also be considered for competition. In these circumstances, a form of employment may be offered, including term and/or contract employment.  
Sanofi
Corporate Counsel (Temporary)
Sanofi Toronto, Ontario, Canada
Reporting to the Head of Legal Affairs & General Counsel Canada the incumbent shall be responsible for providing legal advice in the fields of law critical to promoting, protecting and defending the company’s rights and interests, and ensure that the company complies with the applicable laws and regulations. Additionally, the incumbent shall be expected to anticipate and alert the Leadership team and relevant business groups to any significant legal concerns or exposure and potential corresponding liability or risk.   Key responsibilities and duties for this job Revise, draft, interpret, approve and negotiate the company’s contracts and various contract clauses, as well as other legal documents. Provide legal advice on all legal aspects relevant to the company’s operations, such as, healthcare law, commercial law, corporate law, labor and employment law, compliance (competition, Industry practices and Codes, etc.), product liability, clinical and regulatory matters, intellectual property (including PMPRB) and privacy law. Responsible for the review and preparation of Product Listing Agreements. Review and advise on media relations materials, promotional materials as applicable. Support corporate work as needed, such as resolutions, minute books and provincial registrations. Subject to approval by the General Counsel, manage and supervise certain company files entrusted to external lawyers. Ensure that the company's everyday activities comply with the applicable laws, regulations, guidelines and company policies. Assist the Ethics and Business Integrity for Canada concerning the interpretation and application of the relevant Company, Industry Codes and relevant regulations. Assist the Privacy Officer concerning the interpretation and application of federal and provincial legislation relating to the collection, use and disclosure of personal information (particularly in clinical studies).   Key requirements for this job Bachelor of Laws, member of the Ontario or Quebec Bar. Minimum of 2-5 years’ experience in private practice or as in-house counsel. In-depth knowledge of the pharmaceutical sector would be an asset. Strong Interpersonal skills and ability to work collaboratively. Sense of initiative and organization. Ability to manage several projects simultaneously. Ability to engage in thoughtful risk taking. Strong business acumen with strategic ability. Strong specific/concise communication skills (spoken and written). Time and priority management skills. Ability to function effectively in a highly dynamic environment with aggressive timelines and evolving priorities. Self-motivated, able to work independently, reliable, responsive and accountable. Team player Microsoft Outlook, Word and PowerPoint Languages - Excellent verbal and written communication skills in English. French language is welcome but not required.
Dec 23, 2024
Contract
Reporting to the Head of Legal Affairs & General Counsel Canada the incumbent shall be responsible for providing legal advice in the fields of law critical to promoting, protecting and defending the company’s rights and interests, and ensure that the company complies with the applicable laws and regulations. Additionally, the incumbent shall be expected to anticipate and alert the Leadership team and relevant business groups to any significant legal concerns or exposure and potential corresponding liability or risk.   Key responsibilities and duties for this job Revise, draft, interpret, approve and negotiate the company’s contracts and various contract clauses, as well as other legal documents. Provide legal advice on all legal aspects relevant to the company’s operations, such as, healthcare law, commercial law, corporate law, labor and employment law, compliance (competition, Industry practices and Codes, etc.), product liability, clinical and regulatory matters, intellectual property (including PMPRB) and privacy law. Responsible for the review and preparation of Product Listing Agreements. Review and advise on media relations materials, promotional materials as applicable. Support corporate work as needed, such as resolutions, minute books and provincial registrations. Subject to approval by the General Counsel, manage and supervise certain company files entrusted to external lawyers. Ensure that the company's everyday activities comply with the applicable laws, regulations, guidelines and company policies. Assist the Ethics and Business Integrity for Canada concerning the interpretation and application of the relevant Company, Industry Codes and relevant regulations. Assist the Privacy Officer concerning the interpretation and application of federal and provincial legislation relating to the collection, use and disclosure of personal information (particularly in clinical studies).   Key requirements for this job Bachelor of Laws, member of the Ontario or Quebec Bar. Minimum of 2-5 years’ experience in private practice or as in-house counsel. In-depth knowledge of the pharmaceutical sector would be an asset. Strong Interpersonal skills and ability to work collaboratively. Sense of initiative and organization. Ability to manage several projects simultaneously. Ability to engage in thoughtful risk taking. Strong business acumen with strategic ability. Strong specific/concise communication skills (spoken and written). Time and priority management skills. Ability to function effectively in a highly dynamic environment with aggressive timelines and evolving priorities. Self-motivated, able to work independently, reliable, responsive and accountable. Team player Microsoft Outlook, Word and PowerPoint Languages - Excellent verbal and written communication skills in English. French language is welcome but not required.

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