Consultant, Investment Controls

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

Reporting to the Senior Manager, Investment Controls, the Consultant, Investment Controls is responsible to provide the first level of oversight of CAM retail, institutional and private wealth investment mandates, which employ multi-asset class investment solutions. The group establishes processes and procedures to ensure portfolio holdings and transactions are compliant with legislative and investment policy guidelines/statements, with a focus on all asset classes including derivative instruments.

At CIBC we enable the work environment most optimal for you to thrive in your role. Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview.

How You'll Succeed

• Policy and Compliance - Establish policies and processes for pre and post-trade compliance monitoring, primarily. Develop, implement and document policies and procedures in accordance with standards set forth by various regulatory bodies, CIBC Asset Management, Legal, Compliance.
• Monitor and Report - Perform effective monitoring and reporting oversight of portfolio manager’s investment processes to provide reasonable assurance that that all regulatory and client-specific investment requirements are adhered to. Provide responses to queries from various stakeholders including Business Controls, Wealth Management Compliance (WMC), Global Operational Risk Management (GORM), Internal Audit and external audit. Based on the activities of the team, create robust and dynamic reporting capabilities to be able to identify trends, heat maps and robust management reporting.
• Regulatory Analysis - Maintain strong knowledge of existing Canadian and foreign (particularly U.S.) securities legislation/regulations and developments in investment markets (including derivatives) that will impact CAM products. Analyze new and pending regulations as they relate to the asset management industry, providing management advice and assistance in the implementation of changes for adherence.
• Investment Controls - Enhance the profile of the Investment Controls team by developing and maintaining a high level of capability and knowledge. Manage or participate in ad-hoc projects; act as a subject matter expert on projects and product launches. Represent Investment Controls on various risk management and controls meetings.
• Leadership Skills- Provide management and direction to a team of analysts. Build team and individual capabilities by providing development opportunities such as job shadowing, special projects, and training.
• Communication and Operational Change - Manage performance by providing fair and accurate formal and informal feedback, identifying and removing obstacles to performance and by explaining how performance expectations align with business priorities. Drive operational change to deliver cost effective enhanced controls within our risk appetite.
  
  

Who You Are

• You can demonstrate experience of 2 years in Asset Management. It’s an asset if you have experience with Bloomberg Compliance/Violations Manager, ThinkFolio compliance functionality, or similar compliance platforms (e.g. Fidessa Sentinel, Charles River Compliance, etc.).
• You’re a regulatory expert. You are knowledgeable of relevant regulatory requirements, including securities legislation, pension and insurance legislation.
• You’re analytical. You have well developed data analysis skills for tracking, identifying and analyzing trends, root causes in issues or exceptions.
• You are a capable communicator. You have the ability to translate technical issues clearly and concisely to all stakeholders.
• You’re multi-faceted. You have in-depth knowledge of derivatives, advanced knowledge of macros, Access databases, VBA, querying languages.
• You’re a certified professional. You have a university degree in a relevant discipline. It’s an asset if you have completed your CFA.
• Values matter to you. You bring your real self to work and you live our values - trust, teamwork, and accountability.
• You’re multi-lingual. It’s an asset if you’re fluent in French.
  
  

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 [email protected]
• 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 tests (such as simulation, coding, French proficiency, MS Office). 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.
  
  

Job Location

Toronto-161 Bay St, 23rd Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Asset Management, Bloomberg Software, Ensure Compliance, Policy Procedures, Prioritization, Trade Control