Senior Analyst, Investment Controls

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 the Senior Analyst Investment Controls reporting to the Senior Manager Investment Controls you will be 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.

At CIBC we enable the work environment most optimal for you to thrive in your role. Youll have the flexibility to manage your work activities within a hybrid work arrangement where youll spend 1-3 days per week on-site while other days will be remote. Details on your work arrangement (proportion of on-site and remote work) will be discussed at the time of your interview.

How youll succeed

• Establish policies and processes - For pre and post-trade compliance monitoring. Develop implement and document policies and procedures in accordance with standards set forth by various regulatory bodies CIBC Asset Management Legal Compliance.

• Perform effective monitoring and reporting - Oversight of portfolio managers investment processes to provide reasonable assurance that all regulatory and client-specific investment requirements are adhered to.

• Maintain knowledge and expertise - 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.

• Manage and 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.

• Stakeholder management - 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.

• 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. Exposure to investment compliance monitoring or asset management experience. Proficiency with Excel macros VBA Access databases querying languages. Familiarity with BNY Compliance Monitor Bloomberg Compliance/Violations Manager thinkFolio compliance functionality or similar compliance platforms (e.g. Fidessa Sentinel Charles River Compliance etc.). You have data analysis skills for tracking identifying and analyzing trends root causes in issues or exceptions.

• You can demonstrate knowledge. Familiarity with relevant regulatory requirements including securities legislation pension and insurance legislation. Its an asset if you have derivatives product knowledge.

• You have a degree. In finance business commerce and/or relevant field. Its an asset if you have completed your CFA.

• Your influence makes a difference. You know that relationships and networks are essential to success. You inspire outcomes by sharing your expertise.

• You give meaning to data. You enjoy investigating complex problems and making sense of information. You communicate detailed information in a meaningful way.

• 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.

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