Senior Analyst, Governance and Controls

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
As a member of CIBC’s team, the Senior Analyst, Business Controls is responsible for supporting the department in the delivery of effective regulatory supervision, risk monitoring, mitigation and consulting, proactively analyzing and recommending enhancements to existing business processes. The role applies comprehensive knowledge and skills to assess risk related to client accounts, providing risk management investigation and corrective action services based on documented procedures that support multi-segment line management. The Senior Analyst, Business Controls exercises independent judgement within defined procedures, making approval decisions based on standardized guidelines outlined in procedures. The role provides recommendations for best practices through experiences and observation, for use by other team members as part of knowledge sharing and to ensure consistency in approach. The role solves business, operational, and technical problems within the scope of their job, escalating unusual cases outside of documented procedures to management.
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

• Trade Reviews - Conduct daily and monthly reviews within set timelines. Review daily trades within 24 hours. Flag activity like manipulative and deceptive trading, lack of suitability, undue concentration of securities, excessive trade activity, restricted account activity, conflict of interest between Financial Advisor and client trading activity, excessive trade transfers, trade cancellations, inappropriate or high risk trading strategies, improper employee trading and front running. Retain evidence of review, queries, and responses received.
• Additional Reviews - Review of PPS new account documentation & KYC, Tier 1 Trades, KYC Changes, Monthly statement reviews, UMIR. Perform daily reviews to ensure client holdings are appropriate, based on the established investment threshold.
• Relationship Building - Liaise with internal CIBC departments such as Compliance, AML, ,Frontline staff on a regular basis, PWM, CFP, as required.

Who you are

• You’re a certified professional. Successful completion of the Canadian Securities Course (CSC) and the Conduct and Practices Handbook (CPH). You have been registered with IIROC for minimum 2 years. Completion of Derivatives Fundamentals Course (DFC) is considered an asset.
• You can demonstrate experience in CIBC internal/external regulatory risk policies, procedures and controls. Developed research and analysis skills sufficient to identify potential risk issues and trends. Knowledge of ADP, TOPS, Horizon, IBM CM systems is an asset. Strong Excel skills. Current professional knowledge, specifically related to IIROC and CIBC compliance requirements.
• 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.
• Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
• 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 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
• 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
2024-11-29
Job Location
Alberta VIRTUAL
Employment Type
Temporary (Fixed Term)
Weekly Hours
25
Skills
Business Monitoring, Conflict Resolutions, Customer Queries, Policy Procedures, Prioritization, Retail Credit, Standards Compliance, Trade Contro

Please refer the Job description for details