Associate, Capital Markets Centralized Governance and Controls

2 weeks ago

Toronto Ontario, Ontario, Canada CIBC Full time

How You’ll Succeed

  • Controls Assessment - Executing controls programs in an efficient and timely manner, including creating test plans, testing Key Controls and communicating results as well as monitoring and managing deficiencies. Additionally, advising the business on the implementation and monitoring of Business-Managed Technology controls and assisting with the completion of their Risk and Control Self-Assessments.
  • AML - Performing Anti-Money Laundering (AML) Quality Assurance.
  • Reporting – Creating visually appealing, meaningful and concise management reporting on the status of our LOB own deficiencies. Participating in the Privacy incident reporting process.
  • Drive Efficiency – Supporting our LOBs with key attestations pertaining to relevant contracts, Canadian Anti-Spam Legislation, Compliance Training and CIBC’s Mandatory Training Program, Policies & Procedures (P&P), Records Management and Related Party.
  • Collaboration - Providing our LOBs with advice regarding development of their P&P, project plans, business requirements, executive presentation materials and training materials. Participation in ad-hoc business and CIBC-wide projects and committees, as required.
  • Build Relationships - Liaising on a regular basis with individuals in the various other CIBC LOBs and Capital Markets infrastructure partners (i.e. Finance, Operations, Technology, Risk Management, Compliance, Privacy, Audit), regarding CIBC’s governance and control initiatives and programs. Communicating with policy and program owners when providing data analysis and reports to support policy and program review.


Who You Are

  • You have an undergraduate degree in business or equivalent.
  • You can demonstrate 2-4 years of industry-related experience and understanding of the Capital Markets and Direct Financial Services LOBs, products and services. Demonstrated ability to effectively communicate with business partners.
  • You bring knowledge of the operational, regulatory, and reputational risks associated with Capital Markets and Direct Financial Services LOBs and a comprehension of the policies, standards, processes and controls that need to be in place to mitigate these risks.
  • You love to learn. You’re passionate about growing your knowledge and applying it in order to bring efficiency to your work. Knowledge of auditing and testing frameworks in the context of processes and controls is considered an asset.
  • You are technically savvy. High degree of computer literacy and familiarity with business tools (e.g. Excel, Word, PowerPoint and SharePoint) is a must. Experience with process automation components (i.e. Excel Macros) is an asset.
  • You’re motivated by collective success. Team player with good communication skills, both verbal and written, as well as the ability to be able to think cross-organizationally and build consensus.
  • Values matter to you. You bring your real self to work and you live our values – trust, teamwork, and accountability.

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