Sr. Analyst, Investment Controls
Sr. Analyst, Investment Controls
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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
Reporting to the Senior Manager Investment Controls the Senior Analyst Investment Controls is responsible to provide the first level of oversight of CAM retail 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.
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
Policy and compliance - Establish policies and processes for 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.
Compliance monitoring and oversight - Perform complex compliance monitoring reviews and deliver actionable data-driven insights that support the continuous enhancement of monitoring activities across CAM retail investment mandates. Produce monthly compliance certificates tracking regulatory and investment policy guideline exceptions and contribute to the creation of heat maps and quarterly board presentations for senior stakeholders.
Control evaluation and product monitoring enhancement Evaluate the adequacy and effectiveness of key controls support the onboarding of unconventional or complex new product launches into the monitoring framework and assist in implementing new or evolving monitoring requirements. Perform trend analysis to reveal control or compliance gaps and contribute to the development of manual and automated processes to improve monitoring efficiency.
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 - Provide responses to queries from various stakeholders including Business Controls Wealth Management Compliance (WMC) Global Operational Risk Management (GORM) Internal and External Audit. 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 over 1 year in Asset Management. Its an asset if you have experience with compliance platforms (e.g. BNY Compliance Monitor Bloomberg Compliance/Violations Manager Fidessa Sentinel Charles River Compliance etc.).
Youre a regulatory expert. You are knowledgeable of relevant regulatory requirements including securities legislation (e.g. NI81-102).
Youre analytical. You have strong data analysis skills for tracking identifying and analyzing trends root causes in issues or exceptions. Have meticulous attention to detail with very high professional writing and documentation standards (accuracy consistency and presentation).
You are a capable communicator. You have the ability to translate technical issues clearly and concisely to all stakeholders.
Youre multi-faceted. You have in-depth knowledge of derivatives advanced knowledge of excel and macros Access databases VBA querying languages.
Youre a certified professional. You have a university degree in a relevant discipline. Its an asset if you have completed your CSC or CFA.
#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 23rd FloorEmployment Type
RegularWeekly Hours
37.5Skills
Business Monitoring Conflict Resolution Customer Queries Ensure Compliance Policy Procedures Prioritization Retail Credit Trade ControlRequired Experience:
Senior IC
Employment Type
Full-Time
