Senior Analyst, Investment Controls

CIBC; Toronto; Híbrido; CAD 90.000 - 130.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Competitive salary

Incentive pay

Defined benefit pension plan

Employee share purchase plan

Wellbeing support

MomentMakers recognition program

Descripción de la vacante

CIBC seeks a Senior Analyst, Investment Controls to provide first-level oversight of CAM retail, institutional and private wealth mandates, focusing on derivatives and compliance. The role offers hybrid work with 1–3 on-site days weekly and collaboration with multiple stakeholders.

You will monitor investment processes, stay current on securities regulations, and drive risk-management reporting. A degree in finance or related field is preferred, CFA asset is a plus.

Formación

• Experience in investment compliance monitoring and derivatives within financial services.
• Degree in finance, business, or commerce; CFA considered an asset.

Responsabilidades

• Establish policies and processes for pre- and post-trade compliance monitoring, including derivatives.
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Conocimientos

Excel macros

VBA

Access databases

Query languages

Bloomberg Compliance

ThinkFolio

Fidessa Sentinel

Charles River Compliance

Derivatives knowledge

Asset management

Educación

Finance degree

Business degree

CFA

Herramientas

Bloomberg Compliance/Violations Manager

thinkFolio

Fidessa Sentinel

Charles River Compliance

Descripción del empleo

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

As the Senior Analyst, Investment Controls, reporting to the Director, 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, with a focus on derivative instruments.

At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll 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 you’ll succeed

• Establish policies and processes - For pre and post-trade compliance monitoring, primarily for derivatives. 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 manager’s investment processes to provide reasonable assurance that 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, derivatives instruments, and asset management experience in the financial services/banking sector. Proficiency with Excel macros, VBA, Access databases, querying languages. Familiarity with 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 Derivatives products, relevant regulatory requirements, including securities legislation, pension and insurance legislation.
• You have a degree. In finance, business, commerce, and/or relevant field. It’s 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.
• You live your values. You bring high standards, genuine care to your relationships, and want to grow with an employer that shares your values and brings out your best..

#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 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 [e-mail]

• CIBC is committed to clarity in our hiring process. All roles posted are opportunities we’re actively recruiting for, unless stated otherwise.

• 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 test (such as simulation, coding, French proficiency).

• We use artificial intelligence tools during the recruitment process. 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-141 Bay, 18th Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Analytical Thinking, Asset Management, Compliance Monitoring, Compliance Oversight, Compliance Reporting