Sr Associate Capital Markets Compliance
Sr Associate Capital Markets Compliance
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Job Description
Were building a relationshiporiented bank for the modern world. We need talented passionate professionals who are dedicated to doing whats 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
What youll be doing
The Sr. Associate Capital Markets Compliance supports CIBCs Information Barriers and is responsible for updating the Watch List and Restricted Lists as well as administering silos and wallcrossings. Effective Information Barriers allow Capital Markets personnel to carry out their daytoday activities and offer unencumbered views in support of CIBCs institutional clients while the firm is in possession of MNPI. Information Barriers help to protect CIBC and its employees from allegations of insider trading or a breach of fiduciary duty. The Senior Associate primarily interacts with privateside businesses (Global Investment Banking Corporate Banking Strategy & Corporate Development MidMarket Investment Banking Innovation Banking and Commercial Banking Mid Market) who routinely receive MNPI in their advisory and financing mandates. The Senior Associate will provide guidance on conflict management to these businesses while unusual conflict issues that require special handling are escalated to other members of the Control Room Advisory team the Senior Director of the Control Room or Legal as required. The Senior Associate is expected to develop a working understanding of the different functions within the broader Control Room team to back up members of the Surveillance team (Outside Business Activity and Personal Trading requests) as required.
At CIBC we enable the work environment most optimal for you to thrive in your role. Details on hybrid work arrangement (proportion of onsite and remote work) will be discussed at the time of your interview.
How youll succeed
Facilitate containment of Inside Information Ensure accurate and timely maintenance of the Watch and Restricted Lists setting up of information barriers and wall crosses by maintaining regular contact with private side businesses to record and update deal information in the Control Room database.
Respond to conflict checks Manage the Control Room Restricted List mailbox by responding to conflict checks on new advisory engagements providing advice on live deals as new conflicts arise and escalating any unusual situations which may require special handling.
Produce accurate information Record new actioning new information in the Compliance database and provide timely reporting to Capital Management and Compliance senior management on as required.
Manage regulatory risk Provide advice to management and employees on managing potential conflicts and maintaining formal information barriers. Conduct conflict checks for proposed advisory or financing engagements to identify potential client and/or CIBC conflicts.
Provide advice and training Act as a subject matter expert on the various Capital Markets Compliance policies; conduct training sessions for employees in Capital Markets Commercial Banking and related groups on Information Barriers; respond to questions and provide guidance to management and employees on institutional and personal conflicts and management of information barriers.
Support the team Become a key contributor to the broader Advisory team that is responsible for Information Barrier conflict Management in Canada and regional offices where CIBC Capital Markets operates (includes the US Europe and Asia Pacific).
Who you are
You have a strong knowledge of Capital Markets products and services. Working understanding of Capital Markets private side transactional steps is preferred.
You have an understanding of the different types of conflicts that can occur with advisory and financing mandates as well as institutional and employee trading activities and can demonstrate critical thinking in managing these conflicts.
You have at least 5 years of practical experience working in Capital Markets governance or securities industry.
Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by sharing your expertise.
You have an undergraduate degree preferably with a Finance or Legal focus.
Youre a certified professional. You have current accreditation and good standing in the CSIs Canadian Securities Course.
You understand that success is in the details. You notice things that others dont. Your critical thinking skills help to inform your decision making.
Values matter to you. You bring your real self to work and you live our values trust teamwork and accountability.
#LITA
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 pointsbased 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
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 attributebased 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
Toronto161 Bay St. 10thEmployment Type
RegularWeekly Hours
37.5Skills
ADP System Capital Markets Capital Markets Products Conflict Management Control Rooms Information Barriers Investment Banking Microsoft Excel Microsoft Office Microsoft PowerPoint Multitasking Regulatory ComplianceRequired Experience:
Senior IC
Employment Type
Full-Time
