Senior Associate, Regulatory Complaints Team

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

Job summary

A leading Canadian financial institution is seeking a Consultant, Business Controls in Toronto to assess risk related to client accounts and provide corrective actions for regulatory compliance. The role requires strong analytical skills, effective communication, and relevant professional certifications. The position offers a competitive salary, employee benefits, and a commitment to a supportive work environment.

Benefits

Competitive salary

Defined benefit pension plan

Employee share purchase plan

Wellbeing support

Vacation offering

Qualifications

• Experience in the regulatory industry or investment compliance.
• Ability to communicate complex information effectively.

Responsibilities

• Assess risk related to client accounts and provide corrective action.
• Identify risk and control issues and participate in risk assessments.
• Support relationship management activities for the Line of Business.

Skills

Analytical Thinking

Client Service

Coaching

Communication

Critical Thinking

Decision Making

Investigating

Problem Solving

Education

Current accreditation in CSC, CPH

Branch Manager’s Course or PDO

Job description

What you’ll be doing

As a member of CIBC’s team, the Consultant, Business Controls is responsible for working to effectively assess risk related to client accounts, providing risk management investigation and corrective action services that support multi-segment line management as it pertains to regulatory requirements. The role applies advanced understanding of inherently high-risk process for all segments, utilizing strong problem solving skills to investigate, analyze, and provide informed recommendations on compliance issues, quality operational controls, risk assessment, and control activities. The Consultant, Business Controls uses independent judgement to determine methods and approaches to work, liaising with internal and external sources to obtain, provide, verify, and discuss information and best practices. Acting as a resource integrator for their area, the role independently documents findings of research, analysis, and calculations, developing models, detailed plans, reports, findings and conclusions for use in the decision making process.

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

• Relationship Management – Support the relationship management activities for the assigned Line of Business, in partnership with the Sr. Consultant, and Director, Governance and Controls. Partner and interact with peer and one up levels within the Line of Business, and 2nd and 3rd Lines of Defense.

• Risk Assessment – Identify risk and control issues and participate in risk assessment activities and discussions. Perform detailed risk assessments and root cause analyses on control gaps and operational losses. Compile, synthesize and summarize results of risk assessments. Map business control processes; identify potential failure modes and control gaps.

• Project Management – Participate in business, governance and regulatory projects to identify risk and control issues. Consult on new initiatives from a risk and controls perspective. Develop high level requirements for control processes and gaps within projects and new initiatives. Analyze and/or develop changes to control processes or procedures. Support all activities for the execution of the Control Framework requirements. Support development of remediation action plans.

Who you are

• You’re passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.

• You can demonstrate experience within the fundamental regulatory industry and/or possess investment compliance experience.

• You’re a certified professional. You have current accreditation and good standing in the Canadian Securities Course (CSC), Conduct and Practice Handbook (CPH), and either the Branch Manager’s Course (BMC) or Partners, Directors & Officers Course (PDO) within 3 months of hire.

• Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.

• You give meaning to data. You enjoy investigating complex problems, and making sense of information. You’re confident in your ability to communicate detailed information in an impactful way.

• You understand that success is in the details. You notice things that others don’t. Your critical thinking skills help to inform your decision making.

• 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 [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.

Job Location

Toronto-81 Bay, 21st Floor

Employment Type

Regular

Weekly Hours

37.5

Skills

Analytical Thinking, Client Service, Coaching, Communication, Critical Thinking, Decision Making, Investigating, Problem Solving