Associate, Employee Trading
Associate, Employee Trading
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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
As a member of the Control Room of Capital Markets Compliance you will be providing advice on and administering CIBCs Capital Markets Personal Trading Policy (Canada) and the Insider Trading Policy. As an Associate Employee Trading you will be responsible for providing advice to senior executives management and employees about personal trading matters and responding to questions about the Personal Trading Policies. You will be responsible for pre-clearing trade requests for Canadian employees and monitoring employee trading for compliance with applicable this role you will also be responsible for providing some administrative support to the Capital Markets Compliance team.
At CIBC we enable the work environment most optimal for you to thrive in your role. Details on hybrid work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview.
How youll succeed
Employee trading support Youll be preapproving employee trade requests answering employee questions about CIBCs personal trading policies and conducting post-trade review of employee trading activity to confirm no policies were violated. As part of this process youll be maintaining business relationships to update departmental employee lists setting new employees up on the pre-clearance platform and following up with employees to ensure required actions are taken.
Reporting Responsible to prepare and send scheduled and ad hoc reports to senior management in CIBC Capital Markets that summarize the personal trading activity of their teams. Youll also be identifying gaps and escalating issues on an ad hoc basis to Compliance management (Director Control Room or Senior Director Control Room).
Reviewing published research Youll be assessing research reports published by CIBC World Markets daily to identify new coverage / changes in recommendations and imposing research restrictions where required.
Supporting the Capital Markets compliance team As part of your role you will prepare and distribute correspondence memos reports and other confidential documentation in a timely and accurate manner. Administratively you will from time to time be responsible for coordinating meeting and travel arrangements for team members preparing expense claims and ordering office supplies as required.
Who you are
You can demonstrate experience in the securities industry (3 years) with strong knowledge of securities trading.Its an asset if you have knowledge and understanding of CIBCs business and compliance policies and procedures impacting the Capital Markets businesses.
You have an undergraduate degree preferably with a finance or business focus. Completion of CSIs Canadian Securities Course is an asset.
You have a strong knowledge of Microsoft Office including the use of Word PowerPoint Excel and Outlook. A working knowledge of ADP (Broadridge) and/or Power Automate is an asset.
Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by sharing your expertise.
You know that details matter. 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.
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. 10thEmployment Type
RegularWeekly Hours
37.5Skills
Banking Company Policies Customer Service Derivative Securities Finance Microsoft Excel Microsoft Office Securities Compliance Securities TradingRequired Experience:
IC
Employment Type
Full-Time
