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Director, Regulatory Trade Reporting

2 months ago

Old Toronto Ontario, CA CIBC Full time

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.


What You'll Be Doing


The Director, Regulatory Trade Reporting, will be responsible for leading the implementation of regulatory change projects and initiatives for CIBC Capital Markets. Reporting to the Executive Director, Regulatory Change Management, the Director will work closely with global stakeholders to deliver change to meet new regulatory requirements or address the regulatory aspects of new business initiatives. This will include partnering with various stakeholders in Toronto and Regional offices in UK and Asia. The role will include both project management and business analysis aspects, including drafting business requirements and supporting testing. Regulatory Transaction and Trade reporting change initiatives will be a particular focus area for the role.


How You'll Succeed


  1. Relationship Management: You will effectively manage relationships with internal stakeholders (Compliance, Technology, Operations and Client Data Management) to operationalize regulatory reporting processes. As the liaison between Business, Technology, Compliance, Regulatory Reporting Operations and other stakeholders you will help drive delivery of trade regulatory reporting projects. You will be an active participant in trade regulatory project meetings, and as required provide status and issue reports to Senior Management. You will liaise on a regular basis with individuals in the various Lines of Business, at various levels, to gather and validate information, document and test controls, along with monitoring and tracking government & control program activities.

Implementation & Regulatory Trade Reporting: You will be responsible for supporting implementation plans based on the interpretation of the regulatory trade reporting requirements, working closely with Technology for the system. You will help to define business requirements and test cases, including the review & approval of test cases. As you work with key stakeholders you will assist in the design and implementation to ensure reporting accuracy, completeness, and timeliness of internal procedures and controls for trade reporting.
Compliance: You will work closely with partner groups (Internal Audit, Compliance, HR) regarding trade data quality and trade reporting inquiries. You will strive to create efficiencies across the teams.
Forward & Strategic Thinking: You will define major types of compliance, audit and enforcement mechanisms. Examine the impact on new regulatory obligations against existing workforce and technology designs.

Who You Are


You have an undergraduate degree in business or equivalent. MBA, CA or CFA is an asset.


You bring a minimum of 7 years experience in the financial services industry with strong knowledge of implementation, operations processes and regulatory trade reporting requirements for the North American/Global Region i.e. expertise in at least 2-3 regulations (CFTC, CSA, SEC, CIRO, LOPR, LTR, ESMa, HKMA, MiFID, ) is required.


You have a minimum of 5 years experience analyzing new regulations impacting the Capital Markets business in North America. Experience drafting Business Requirement documentation for Technology deliverables to meet regulatory requirements. You can demonstrate awareness of Regulatory Change obligations and, following research, and develop into a subject matter expert explaining the requirements of regulations, policies and guidelines.


You have a minimum of 5 years’ experience in project management and managing and delivering regulatory change projects within Capital Markets. Ability to remain project oriented and to multi-task multiple priorities. You will be take a leading role in project meetings and will be regulatory change representative on project committees. You will provide status and issue reports to Senior Management as required.


You have strong knowledge of Capital Markets regulatory environment/landscape as well as product, trade lifecycle, and processes. You have the ability to translate regulatory interpretations into business requirements. Governance & controls knowledge would be a preferred asset.


You have knowledge of Debt, Equity and OTC Derivative Products. Working knowledge of the structure of debt, equity and derivatives transactions such as swaps, forwards, options etc from both a theoretical and practical viewpoint as well as the basic finance principles that underlie them.


You put our clients first. You engage with purpose to find the right solutions. Your relationship skills and ability to work with multiple stakeholders is what sets you apart. You have the ability to make decisions quickly to help our clients and partners. You are flexible and able to adapt to changing situations, and are to thrive in a fast paced & demanding environment.


You're driven by collective success. You know that collaboration can transform a good idea into a great one. You understand the power of an inclusive team that enjoys working together to bring a shared vision to life. You have a proven track record of effective execution and achieving results.


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.


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-161 Bay St., 9th


Employment Type Regular


Weekly Hours 37.5


Skills Business Effectiveness, Business Processes, Capital Markets, Critical Thinking, Customer Experience (CX), Customer Service, Leadership, Long Term Planning, Project Management, Strategic Objectives

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