Analyst, Supervision & Governance

at  CIBC

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
The Analyst, Business Effectiveness, Capital Markets is a professional who utilizes diverse methods and skills to oversee the end-to-end client onboarding activities for new clients and participates in Capital Markets strategic initiatives globally. The role makes decision on moderately complex issues that contribute to the client experience, including review of client cases submitted by Analysts to ensure documentation and data is correct, ensure clients are onboarded in a timely manner, risk reviews are completed, and escalate clients accordingly when required. The role exercises independent judgment, being accountable at all times for following CIBC communication standards and procedures in relation to regulatory guidelines. The role works with limited guidance and acts as a single point of contact for clients, front staff, and internal stakeholders by addressing concerns and providing resolutions.
The Capital Markets arm of CIBC provides corporate, government and institutional clients with innovative solutions to help them raise capital and grow and invest actively throughout global markets and key financial centres around the world. To deliver on its vision to be our clients’ preferred capital markets banking partner across multiple products and services, both in Canada and where our core competencies can be exported. The Capital Markets mission is to bring Canadian Capital Markets products to Canada and the rest of the world and bring the world to Canada.
As an Analyst, Supervision & Governance you will join CIBC’s Capital Markets Supervision & Governance department to support the Director (Team Lead) and Executive Director (Group Head), focusing on an effective 1st line of defense and surveillance for all authorized channels of communications. You must be highly responsive in a business environment where decisions must be made in stressful, time sensitive situations where information is often ambiguous and incomplete. You are also expected to keep abreast of developments in an ever-changing regulatory environment and their impact on the business. The principal surveillance functions of this role will focus on Equities, FICC and DFS (including Investor’s Edge, Simplii and ASG). Primary responsibilities include monitoring of all communications to ensure adherence to code of conduct, regulatory guidance and overall brand protection in accordance with standards established by OSFI, FCAC, CIRO, CSA, CFTC, SEC and others.
The incumbent will be responsible for the implementation and maintenance of regulatory requirements including daily surveillance and supervision. Among these daily tasks, the incumbent will assist the Director with the management of the group, ensuring tasks are completed on time with issues escalated in an effective manner.
The incumbent is also responsible for providing oversight, guidance and training to other members of the team in order to achieve departmental goals and objectives in relation to key initiatives and projects. The incumbent must also be adept at understanding regulation and effectively addressing the regulatory risks to CIBC’s sales and trading franchise.
The successful candidate will be responsible for managing end-to-end sales monitoring and risk mitigation by using strong investigative and decision making skills; as well as taking appropriate actions in a timely manner while providing a positive client experience when dealing directly with internal and external clients.
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

• Supervision - Supervision & Governance acts as the delegated supervisor for Global Markets and DFS. The incumbent is responsible for assisting the Director of the group and the Head of Supervision & Governance fully and properly supervise all employees to ensure compliance with applicable regulatory requirements and managing regulatory risk. As required, assist the bus ness with communication plans to clients, marketplaces and regulators . Follow up on incidents and track actions to completion. Supervision and review of daily electronic correspondence relating to Capital Markets and DFS. Liaise with sales/traders when required, supporting the front-office. Review/provide feedback/input with respect to all aspects of the supervision program. Other items, as relevant.
• Regulatory Enquiries & Compliance - Act as a liaison on behalf of the business between Compliance and Regulators. Assist with regulatory and compliance requests and responses, ensuring enquiries are handled timely and in a professional manner. Engage clients and internal traders where necessary, providing guidance and education and/or change behavior where indicated. Escalate non-routine regulatory enquiries to registered supervisors as relevant.
• Audits/Reviews - Provide assistance and feedback during internal audit and regulatory reviews. Work with stakeholders to remediate any gaps identified during the reviews/audits.
• Other responsibilities - Participate in industry working groups and committees to stay abreast of industry issues and views. Assist with vendor relationships related to supervision systems, as required. Maintain relationships with regulators and regulatory bodies and stay abreast of ongoing regulatory developments to analyze and assess impact to the business. Participate in projects, other initiatives and committees as required by business needs.

Who You Are

• You must have an undergraduate university degree in a discipline such as Business, Mathematics, Economics, Engineering, Finance, etc.
• You are multi-lingual. You are fluent in at least one of the following languages – French, Spanish, Cantonese, Japanese, etc. French proficiency is a strong asset.
• You have the industry experience. Knowledge of capital markets is considered an asset. Experience in previous risk/compliance functions will be considered. Preference will be given to applicants who are also pursuing the CFA.
• You can demonstrate experience in technical skills in VBA coding and data analysis. You have Knowledge of MS Office, especially in Excel.
• You have experience managing small and medium sized databases using tools such as MS Access.
• You have the ability to program rules-based logic and manage reporting dashboards and similar output.
• You are Collaborative and a strong communicator. Effective written and oral communication and presentation skills. Excellent relationship-building skills. Ability to manage competing priorities. Creative problem solving skills.
• Values matter to you. Successful candidates must exhibit CIBC’s values of trust, team work, 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 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

Mailbox.careers-carrieres@cibc.com

• 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

Expected End Date
2025-03-02
Job Location
Toronto-161 Bay St., 9th
Employment Type
Regular
Weekly Hours
37.5
Skills
Accountability, Business Processes, Communication, Interpersonal Communication, Office Administration, Organizational Efficiency, Taking Initiative, Teamwor

Please refer the Job description for details