Business Specialist, Regulatory Registration

3 weeks ago

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

**Job Description**:
What you’ll be doing

The Business Specialist is responsible for providing members of a larger team with day-to-day tasks and direction to achieve high performance levels and deliver outstanding customer service. The role follows established procedures to manage several processes, sub-processes, and all escalated issues, identifying the root cause and making appropriate decisions to resolve more complex problems. The Business Specialist collaborates with various departments to drive change, overseeing the implementation of assigned initiatives to ensure success. The role is also responsible for oversight of employee and operational effectiveness and assisting business partners to achieve business objectives.

Reporting to the Senior Manager, Registration Department, the key purpose of this position is to support various business lines: mutual funds, securities, financial planning, life insurance products from the following Firms:
- CIBC (Investment Fund Manager)- CIBC Trust Corp.- CIBC Securities Inc.- CIBC Investor Services Inc.- CIBC World Markets Inc.- CIBC Asset Management Inc.
- At CIBC we enable the work environment most optimal for you to thrive in your role. To successfully perform the work, 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- Effective and efficient operation of Registrations - Oversee the registration process, ensuring all registration requests are accurately, efficiently processed within regulatory and internal timeframes.- Conduct monthly team meetings with all members to review and discuss common registration issues and discuss best practices and specific items related solely to registration processes. Relevant matters from these meetings must be escalated to the Senior Manager for comment or broader discussion on department, business or process impact.- Act as a first point of escalation to issues identified by the client group, regulator or individual team members. Identify and address any gaps, deficiencies or improvements for the registration process. Conduct benchmarking, as appropriate, to identify process improvements. Complete of statistical reviews for submissions to ensure that work is equitable distributed and identify areas of concerns based on submission status.- Advice and Assistance - Provide advice and assistance for questions concerning securities registrations. Ensure prompt and effective response to written and verbal queries and other requests from regulators, registrants or from business stakeholders.- Support department team members - For their everyday responsibilities by being the first level to which matters can be escalated on all registration matters. Business Specialist can then refer any registration matter to the Senior Manager for review, comment and final decision (where applicable).- Accountable for ensuring corporate filings, such as the Firms’ renewal (including but not limited to NRD annual renewals, USA renewals, financial planning, insurance renewals and material changes) are filed appropriately with the regulatory bodies our CIBC Firms and minimizing the Firm’s reputation and regulatory risk with regulators. Responsible for completion of CIBC annual reconciliation of renewal fees to each line of business for our Firms. Regularly in contact with the Corporate Secretary and/or Legal, especially regarding the appointment/registration of the directors and some executive officers.- Monitor Regulatory Changes Concerning Registrations - Identify regulatory changes impacting the registration process and / or policy deficiencies. Build and maintain knowledge of securities legislation and rules relating to registration requirements for CIBC.- Update / Develop and Implement Policy and Standards for Registrations - Through a consultative approach develop or update policy and standards in collaboration with the Senior Manager. Oversee implementation including coordination with MFDA Compliance, Wealth Management Compliance, Capital Markets Compliance and with business stakeholders.- Relationship Management - Build and maintain strong relationships with MFDA Compliance, Wealth Management Compliance, Capital Markets Compliance business management and other areas and stakeholders within CIBC including Legal and Finance. Build and maintain strong relationships with industry counterparts and the regulators, particularly external regulators, IIROC, AMF, CSF and provincial commission, insurance councils and internal business

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