Consultant, Investment Controls

Canadian Imperial Bank of Commerce; Toronto; On-site; CAD 70,000 - 90,000; Full time

Job summary

A leading bank in Toronto is seeking a Consultant for Investment Controls. This role involves compliance oversight, policy establishment, and data analysis within asset management. Candidates should possess strong regulatory knowledge and communication skills, and be committed to teamwork and accountability.

Benefits

Competitive Compensation

Wellbeing Support

Employee Assistance Programs

Qualifications

• Over 2 years experience in Asset Management.
• Knowledgeable of relevant regulatory requirements.

Responsibilities

• Establish policies for post-trade compliance monitoring.
• Perform compliance monitoring reviews and deliver actionable insights.
• Evaluate the adequacy of key controls and support onboarding of new products.

Skills

Asset Management

Data Analysis

Communication

Regulatory Requirements

Education

University Degree

CSC or CFA

Tools

Excel

Access Databases

VBA

Job description

Consultant, Investment Controls page is loaded

Consultant, Investment Controls

Apply locations Toronto, ON
Time type: Full time
Posted on: Posted Yesterday
Time left to apply: End Date: May 20, 2025 (5 days left to apply)
Job requisition id: 2511204

We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s 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 CIBC.com

What you'll be doing

Reporting to the Senior Manager, Investment Controls, the Consultant, Investment Controls is responsible for providing 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 you’ll succeed

1. 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.
2. 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.
3. 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.
4. 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.
5. 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.
6. 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.
7. 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 2 years in Asset Management. It’s an asset if you have experience with compliance platforms (e.g., BNY Compliance Monitor, Bloomberg Compliance/Violations Manager, Fidessa Sentinel, Charles River Compliance, etc.).
• You’re a regulatory expert: You are knowledgeable of relevant regulatory requirements, including securities legislation (e.g., NI 81-102).
• You’re 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.
• You’re multi-faceted: You have in-depth knowledge of derivatives, advanced knowledge of Excel and macros, Access databases, VBA, querying languages.
• You’re a certified professional: You have a university degree in a relevant discipline. It’s an asset if you have completed your CSC or CFA.
• 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 work to recognize you in meaningful, personalized ways including a competitive compensation, a banking benefit*, wellbeing support, and additional offers such as employee and family assistance programs 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.

*Subject to 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 [e-mail]
• 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.

Expected End Date: 2027-01-01

Job Location: Toronto-161 Bay St., 23rd

Employment Type: Temporary (Fixed Term)

Weekly Hours: 37.5

Skills: Business Controlling, Client Service, Compliance Monitoring, Group Problem Solving, Project Management, Regulatory Requirements, Risk Management Assessment, Work Collaboratively