Consultant, Investment Controls

Canadian Imperial Bank of Commerce; Toronto; On-site; CAD 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a dedicated Consultant for Investment Controls to oversee compliance in asset management. This role involves developing policies, monitoring investment processes, and providing insights to management. With a focus on collaboration and innovation, the company offers a supportive environment where your contributions are valued. Join a team that prioritizes your growth, offering competitive salaries, pension plans, and unique personal development initiatives. If you are passionate about compliance and asset management, this is the perfect opportunity for you.

Benefits

Competitive Salary

Incentive Pay

Banking Benefits

Pension Plan

Employee Share Purchase Plan

Recognition Programs

Purpose Day for Personal Growth

Qualifications

• 2+ years of experience in Asset Management with strong compliance knowledge.
• Proficient in data analysis and translating technical issues to stakeholders.

Responsibilities

• Establish policies for compliance monitoring and ensure adherence to regulations.
• Monitor investment processes and create reporting capabilities for management insights.

Skills

Asset Management

Bloomberg Software

Ensure Compliance

Policy Procedures

Prioritization

Trade Control

Data Analysis

Communication Skills

Education

University Degree in Relevant Discipline

CFA Certification

Tools

Bloomberg Compliance/Violations Manager

Access Databases

VBA

Job description

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, 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, focusing on all asset classes including derivative instruments.

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 pre- and post-trade compliance monitoring. Develop, implement, and document policies and procedures in accordance with standards set by regulatory bodies, CIBC Asset Management, Legal, and Compliance.
2. Monitor and Report: Perform oversight of portfolio managers’ investment processes to ensure adherence to regulatory and client-specific investment requirements. Create robust reporting capabilities to identify trends and provide management insights.
3. Regulatory Analysis: Maintain knowledge of Canadian and foreign securities legislation/regulations, analyze new regulations, and advise management on compliance and implementation.
4. Investment Controls: Develop and maintain team capabilities, manage ad-hoc projects, and represent Investment Controls in risk management meetings.
5. Leadership Skills: Provide management and direction to analysts, fostering team development through training and development opportunities.
6. Communication and Operational Change: Manage performance, provide feedback, and drive operational improvements aligned with business priorities.

Who you are

• You have at least 2 years of experience in Asset Management. Experience with compliance platforms like Bloomberg Compliance/Violations Manager or similar is an asset.
• You are knowledgeable of securities legislation, pension, and insurance regulations.
• You possess strong data analysis skills and the ability to identify trends and root causes.
• You are capable of translating technical issues clearly to stakeholders.
• You have in-depth knowledge of derivatives, macros, Access databases, VBA, and querying languages.
• You hold a university degree in a relevant discipline; CFA certification is an asset.
• You live our values of trust, teamwork, and accountability.
• Fluency in French is an asset.

What CIBC Offers

We prioritize your goals and strengths, offering opportunities for growth and a career, not just a paycheck. Benefits include competitive salary, incentive pay, banking benefits, pension plan, employee share purchase plan, and recognition programs.

Our spaces and tools foster collaboration and innovation. We also offer initiatives like Purpose Day for your personal growth.

What you need to know

• We are committed to inclusivity and accessible hiring. Contact [e-mail] for accommodations.
• You must be legally eligible to work at the specified location(s) and have the necessary permits.
• We may require assessments and skills tests to learn about your capabilities.

Job Location

Toronto - 161 Bay St, 23rd Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Asset Management, Bloomberg Software, Ensure Compliance, Policy Procedures, Prioritization, Trade Control