Canadian Imperial Bank of Commerce (CIBC)
Nick Katerinakis, Director, Legal and Compliance Division, Enterprise-Wide Compliance, CIBC (Achieving Effective Compliance Oversight and the Role of Monitoring and Testing by Compliance).
Nick Katerinakis is a Director with CIBC in the Legal and Compliance Division and currently the deputy head of the Enterprise-Wide Compliance Department that is responsible for the identification, reporting and management of compliance risks and issues and the implementation of key compliance initiatives globally.
Previously, he was a Vice President with RBC Capital Markets in the Global Institutional Compliance Department practicing in securities compliance, conflict management and "control room" activities.
provides advice on all aspects of compliance, regulatory and financial services law and has had extensive exposure to audit, tax, corporate law and governance.
Admitted to the Ontario Bar, he is a long-standing member of the Canadian Bar Association, American Bar Association, the Legal and Compliance Section and Anti-Money Laundering Committee of the Investment Dealers Association of Canada.