Associate, UK Client Management Services

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BUSINESS UNIT DESCRIPTION

The goal of CIBCs Capital Markets business is to be the premier client-focused Capital Markets based in Canada. To deliver on this the capital markets arm of CIBC provides a wide range of credit capital markets investment banking merchant banking and research products and services to government institutional corporate and retail clients in Canada and in key markets around the world.

JOB PURPOSE

The Client Services and Data Management team supports the endtoend onboarding of direct clients funds and brokers for all Capital Markets lines of businesses across UK and EU regions. This includes supporting the strategic evolution of capital markets products as it relates to expanding client relationships.

We are responsible for coordinating endtoend process activities with accountability for the governance deliverables and stakeholder engagement across the client lifecycle working in partnership with Front Office Client Services Legal Compliance Credit teams Operations and Clients on a daily basis.

The Associate is accountable for maintaining data integrity by ensuring all client and product regulatory information is accurate complete and appropriately documented at the point of onboarding and throughout the client lifecycle in line with regulatory audit internal control requirements and CIBCs risk appetite.

The candidate may be required to participate in and support Capital Markets Strategic initiatives under the leadership of the Director and working in partnership with Technology and Change Programs to deliver scalable streamlined and efficient fronttoback solutions in support of the continued evolution of best practices.

Responsibilities include regulatory enablement process standardisation management reporting control documentation and adhoc activities as required while ensuring outcomes remain aligned with business priorities regulatory obligations and CIBCs risk appetite.

The Associate will work closely with senior stakeholders and is expected to manage multiple workstreams simultaneously in a fastpaced Capital Markets environment.

KEY ACCOUNTABILITIES

Business Effectiveness & Operational Enablement

• Support fronttoback process execution across Capital Markets initiatives including client onboarding optimisation regulatory enablement and lifecycle governance.

• Contribute to the design documentation and continuous improvement of standardised processes procedures job aids and playbooks to support repeatable and auditable outcomes.

• Actively support the implementation and embedding of new workflows process changes and control enhancements into BusinessAsUsual operations.

• Expected to self-motivate and prioritize multiple deadlines.

Stakeholder Coordination & Delivery Support

• Effectively manage relationships with clients and be their main point of contact

• Build productive relationships between Capital Markets business teams and key downstream stakeholders including Client Services Operations Risk Compliance Legal Technology and Change Management.

• Coordinate information flow dependencies and deliverables across stakeholders to support timely execution of initiatives and resolve daytoday issues.

• Support governance forums working groups and steering discussions by preparing materials tracking actions and following through on agreed outcomes.

• Provide leadership and guidance to junior team members to ensure overall team competency remains at a high level through cross training of relevant skills and industry knowledge.

Regulatory Data Collection & Compliance Ownership

• Own the validation and documentation of regulatory data required for direct client onboardings and fund account openings ensuring completeness and accuracy prior to account opening.

• Ensure onboarding documentation and client data meet all applicable AML/KYC tax regulatory and internal policy requirements before progressing through account enablement.

• Act as the primary point of accountability for resolving data quality issues documentation gaps and regulatory deficiencies identified during onboarding or lifecycle reviews.

• Maintain auditready documentation and evidence to support regulatory reviews internal audits and control testing.

Client Lifecycle

• Support client onboarding and lifecycle management initiatives by coordinating documentation data requirements and control deliverables.

• Ensure procedures and supporting artefacts are kept current with regulatory policy and process changes as they are introduced.

Data Management & Reporting

• Identify inconsistencies in client and product data with the objective of remediating these discrepancies or gaps.

• Manage individual and team email inbox in a timely manner while addressing the inquiries and requests professionally

• Produce maintain and enhance management reporting dashboards trackers and executive materials to support senior management visibility across delivery capacity risk and performance.

• Support adhoc information requests from senior stakeholders ensuring outputs are accurate clearly structured and decisionuseful.

Process Optimisation & Continuous Improvement

• 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.

• Identify opportunities for simplification standardisation automation and efficiency improvements across business processes.

• Participate in testing implementation and rollout of system and process enhancements including UAT support where required may be required during off hours.

• Contribute to a culture of continuous improvement by challenging existing processes and proposing pragmatic riskaligned solutions.

COMPLIANCE REQUIREMENTS/RESPONSIBILITIES

• As an employee of CIBC the incumbent must comply with all applicable CIBC and Line of Business policies standards guidelines and controls.

KNOWLEDGE AND SKILLS

• Experience: Minimum of 3 years experience within Client Onboarding Trade Control / Trade Desk Support or Operations preferably within the Capital Markets line of business.

• Client & Service Orientation: Strong customer service mindset with a demonstrated sense of accountability and ownership over the endtoend client onboarding experience. Sound understanding of service management tools and techniques to support highquality outcomes for both internal and external stakeholders.

• Communication & Stakeholder Management: Excellent written and verbal communication skills with strong analytical and problemsolving capability. Proven ability to manage difficult conversations resolve issues influence decisions and build consensus across multiple stakeholders. Comfortable escalating matters appropriately and maintaining a sense of urgency to meet onboarding and delivery targets.

• Business & Product Knowledge: Solid understanding of Capital Markets clients products and business models with the ability to support client onboarding and lifecycle activity across Sales & Trading Lending and Advisory services on a global basis. Familiarity with institutional client types such as Asset Managers Insurance Companies Pension Funds and Sovereign Wealth Funds is essential. Knowledge of Retail Commercial or Wealth Banking within CIBC or other financial institutions is an asset.

• Execution & Delivery: Demonstrated track record of effective execution and delivery of results in a fastpaced highpressure environment. Strong organisational skills with the ability to manage multiple priorities simultaneously.

• Technology & Process Enablement: Comfortable leveraging technology to drive efficiency and improve outcomes. Ability to quickly learn understand and apply new business processes workflows systems and tools. Prior experience with data management concepts and techniques is desirable.

• Continuous Improvement Mindset: Strong focus on continuous improvement with the ability to identify and support opportunities for operational enhancements process simplification and efficiency gains.

• Research Analysis & Documentation: Strong research analytical and documentation skills with the ability to collect validate consolidate and present information accurately in appropriate formats.

• DecisionMaking & Critical Thinking: Excellent judgement and critical thinking skills with the ability to analyse complex situations evaluate alternatives and contribute to wellreasoned decisions in collaboration with stakeholders.

• Regulatory & Control Awareness: Must have knowledge of applicable foreign and domestic jurisdictional and company-specific regulations policies and guidelines affecting business particular knowledge of AML/KYC Taxation Operations miscellaneous trade reporting requirements(Dodd Frank EMIR MiFID CSA SFTR CIRO HKMA etc.) requirements is considered a key asset

• Qualifications: University degree required; a background in Finance or Accounting is preferred.

WORKING CONDITIONS

• Under normal conditions this role operates within an office environment with little exposure to adverse working conditions. Open concept office environment with exposure to noise and distractions.

• Fast paced demanding environment.

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

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