Associate, Regulatory Client Outreach
Associate, Regulatory Client Outreach
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Job Description
Were building a relationship-oriented 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
Client Services and Data Management (CS&DM) has the mandate to onboard direct clients funds shared clients and broker counterparties for the Capital Markets lines of business as well as to manage a robust and effective client lifecycle process for Capital Markets clients. The CS&DM team is responsible for end-to-end client onboarding activities within the specified space which consists of client data and information collection through research and interaction with numerous stakeholders including Front Office Legal Documentation Credit Operations and clients. Accurate client data is captured validated stored and maintained throughout the clients lifecycle with CIBC Capital Markets together with supporting documentation to meet various regulations and reporting needs. It is the responsibility of this team to ensure that all existing and new regulatory requirements are adhered to by collecting the necessary data and documentation from clients and storing this information in the appropriate book of record systems.
Reporting to the Director youll execute and/or facilitate the investigation assessment and regulatory client outreach activities to ensure all existing and new regulatory requirements have been met. Youll assist the Director in various ad-hoc or business as usual (BAU) projects and strategy initiatives led by the Head of CS&DM. Participation and support of strategic initiatives will be required including any large scale global capital markets regulatory remediation projects.
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 Youll Succeed
Regulatory Client Outreach: Youll apply your understanding of the regulatory requirements impacting the CIBC Capital Markets business its products and its clients. Manage regulatory outreach campaigns in support of the collection of missing or new regulatory data and documents. Ensure follow-up with the customer or stakeholder to obtain all documentation and disseminate relevant information to the respective internal teams. Youll need to be able to quickly assess factors that affect a clients profile or regulatory reporting issue through research in order to make timely decisions and take appropriate action as necessary to resolve the problem. Youll manage cases that have high complexity and assignments and establish best practices for the team.
Collaboration & Relationship Management: Youll work directly with Compliance Legal Front Office Operations Client Services and other stakeholders to investigate regulatory issues related to missing or inaccurate regulatory data in CIBCs book of record systems. Manage individual and various team owned email outlook inboxes in a timely manner while addressing the inquiries and requests professionally. Youll develop relationships with internal stakeholders including Senior Management in Front Office as well as Legal Compliance Technology and Operations stakeholders. Commitment to ensuring self-competency remains at a high level through cross training of relevant skills and maintaining current industry knowledge of the capital markets regulatory landscape. Participation in project working groups and committee meetings will be required to provide input on existing process and to shape future state process for new requirements.
Targets: Youll be required to meet established individual and team activity targets and SLAs while managing tasks in a fast and dynamic working environment. The expectation is to execute responsibilities with efficiency and high level of accuracy with attention to detail.
Organization & Process Improvement: Youll maintain the regulatory tracker for client outreach and carry out inquiries to resolve each item on the tracker as needed. Execute prioritized tasks based on deadlines associated with front office or senior management requests. Identify opportunities for automation and enhancements to current processes and procedures that support operational efficiencies and contribute to an improved client service relationship with Capital Markets.
Mentoring & Development: Youll train and perform knowledge transfer to junior and fellow colleagues on various regulatory topics and processes. Create training material and job aids for training new and junior colleagues by sharing knowledge and experience related to the job mandate.
Who You Are
You have a university degree with a background in legal finance accounting or related field.
You can demonstrate a minimum of 5 years of experience in the area(s) of Regulatory Compliance Client Onboarding Trade Control/Trade Desk Support or Operations preferably in the Capital Markets line of business. Strong track record of execution and impact in a financial institution and/or risk oriented setting. You have advanced project management planning and organizational skills.
You can demonstrate experience working with Capital Markets clientele business and product knowledge to easily understand and support the client onboarding lifecycle across Sales/Trading Lending and Advisory services globally. Familiarity with Institutional clients: Asset Managers Insurance Companies Pensions Sovereign Wealth Funds etc. Knowledge of Retail Commercial and Wealth business and their clients within CIBC or other Banks is an asset.
You have knowledge and professional experience working with applicable foreign and domestic jurisdictional and company-specific regulations policies and guidelines affecting business practices. In particular knowledge of regulatory regimes such as Dodd Frank (CFTC & SEC) CSA EMIR MiFID HKMA MAS ASIC CAT NMS CIRO (IIROC) etc.) is considered a key asset. Supplementary regulatory knowledge and experience with AML/KYC and Taxation (FATCA CRA 871M etc) requirements are beneficial.
Youre digitally savvy. You seek out innovative solutions and embrace evolving technologies. You can easily adapt to new tools and trends.Experience working with onboarding and data management software/systems is an asset.
Youre passionate about people. You find meaning in relationships and surround yourself with a diverse network of partners. You connect with others through respect and authenticity.You care deeply about what you do with a strong sense of accountability ethics and ownership over client experience and end-to-end client on-boarding processes.
You know that details matter. You notice things that others dont. Your critical thinking skills help to inform your decision making.You have the ability to identify conflicts and escalate issues when and where appropriate maintaining a sense of urgency to ensure regulatory processes and documentation targets are met.
Youre goal oriented. Youre motivated by accomplishing your goals and delivering your best to make a difference.You achieve results in a fast paced and demanding environment.
You do your research. You have a keen eye for details and strong analysis skills. You know how to validate and consolidate information into ways that are understandable.
Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by sharing your expertise.
Values matter to you. You bring your real self to work and you live our values - trust teamwork and accountability.
#LI-TA
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
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. 9thEmployment Type
RegularWeekly Hours
37.5Skills
Analytical Thinking Auditing Business Effectiveness Capital Markets Capital Markets Products Client Onboarding Client Service Customer Experience (CX) Detail-Oriented Onboarding Regulatory Compliance Regulatory Knowledge Strategic Initiative Teamwork Trade ControlRequired Experience:
IC
Employment Type
Full-Time
