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Senior Analyst, Governance

2 months ago

Old Toronto, Canada 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.

To learn more about CIBC, please visit CIBC.com.

What You’ll Be Doing

As a Senior Analyst, Governance & Controls, you'll manage regulatory and business risk related to the on-boarding and maintenance of brokerage accounts for CIBC Investor Services Inc. Signing Officers have the responsibility to legally bind all new accounts on behalf of the firm. You'll also provide support and guidance to business partners as it relates to account open and account maintenance issues.

At CIBC we enable the work environment most optimal for you to thrive in your role. You’ll have the flexibility to manage your work activities within a hybrid work arrangement where you’ll spend 1-3 days per week on-site, while other days will be remote.

How You’ll Succeed
  1. Support: Provide support to the ISI Contact Centre, ISI Account Open Manager, and related business partners regarding account documentation for new and existing accounts. Perform a review of account documentation to ensure compliance with CIBC and industry regulations. Diligently interpret all rules and regulations related to the industry regarding the new account process and maintenance of accounts.
  2. Analyze: Review new account applications and account changes submitted by employees of CIBC Investors Edge, CIBC Imperial Service, CIBC Private Wealth Management and clients external to CIBC. Apply regulatory and corporate compliance rules to the “Account Open” and “Account Maintenance” processes to ensure KYC and risk obligations are fulfilled. Responsible for the review and approval of margin and option applications based on established guidelines.
  3. Communication: Communicate with accuracy and clarity account documentation issues to CIBC partners and clients and provide support and assistance in the resolution of escalated issues. Recommend initiatives for improving the client experience and managing risk related to the “account open” and “account maintenance” process. Efficiently and accurately review applications to meet ISI timelines and individual targets set by Management and participate in special projects and on committees as designated by management.
Who You Are
  1. You’re a certified professional. You have current accreditation and good standing Completion of CSC, CPH, DFOL, Branch Managers Course / Investment Dealer Supervisors Course, Options Supervisor Course required for licensing with IIROC.
  2. You can demonstrate knowledge of CIBC Code of Conduct, CIBC Global Reputation and Legal Risks and CIBC Anti-Money Laundering and Anti-Terrorist policies.
  3. 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.
  4. You can demonstrate knowledge of business/economics/finance as well as familiarity with the fundamentals and techniques of stock, option, and fixed income trading, typically acquired through 3 to 5 years trading experience and a university degree or the equivalent combination of education and experience.
  5. You put our clients first. You engage with purpose to find the right solutions. You go the extra mile because it's the right thing to do.
  6. Multi-lingual abilities are an asset. French fluency is desirable. English fluency is required.
  7. 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.

  1. 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.
  2. 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.
  3. 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 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.
Job Location

Toronto-483 Bay St 2nd Fl.

Employment Type

Regular

Weekly Hours

37.5

Skills

Analytical Thinking, Governance Controls, Investments, Wealth Management

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