David Wong
About David Wong
David Wong is the Director of Securities Regulatory Examinations, Compliance at CIBC, with nearly three decades of experience in the financial industry.
Current Role at CIBC
David Wong currently holds the position of Director, Securities Regulatory Examinations, Compliance at CIBC. Since 2021, he has been based in Toronto, Ontario, Canada. In this role, he oversees compliance examinations related to the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA). His responsibilities include ensuring that CIBC adheres to regulatory standards and practices in the securities market.
Previous Roles at CIBC
David Wong has a longstanding career at CIBC with multiple key roles. He served as Director, Enterprise Anti-Money Laundering/Anti-Terrorist Financing from 2019 to 2021. Prior to that, he was the Audit Director from 2001 to 2019, focusing on internal audit processes. He also held the role of Administrator from 1989 to 2001. Throughout his roles, he has contributed significantly to the bank’s operations and compliance frameworks in the Toronto region.
Educational Background
David Wong studied Economics at Carleton University from 1987 to 1989. His education has provided a strong foundation in economic principles, which has been instrumental in his various roles at CIBC. The knowledge gained during his academic years has played a crucial part in his nearly three decades of experience in the financial industry.
Experience in Financial Industry
David Wong possesses nearly three decades of experience in the financial industry. His expertise spans internal audit, securities broker dealer investments, and capital markets. This extensive experience has made him well-versed in the regulatory and operational aspects of the finance sector, particularly within the context of banking compliance and audits.