Associate, Supervision

4 months 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

What You’ll Be Doing

The Capital Markets arm of CIBC provides corporate, government and institutional clients with innovative solutions to help them raise capital and grow and invest actively throughout global markets and key financial centres around the world. To deliver on its vision to be our clients’ preferred capital markets banking partner across multiple products and services, both in Canada and where our core competencies can be exported. The Capital Markets mission is to bring Canadian Capital Markets products to Canada and the rest of the world and bring the world to Canada.

As an Associate, Supervision & Governance you will join CIBC’s Capital Markets Supervision & Governance department to support the Director (Team Lead) and Executive Director (Group Head), focusing on an effective 1st line of defense and surveillance for all authorized channels of communications. You must be highly responsive in a business environment where decisions must be made in stressful, time sensitive situations where information is often ambiguous and incomplete. You are also expected to keep abreast of developments in an ever-changing regulatory environment and their impact on the business. The principal surveillance functions of this role will focus on Equities, FICC and DFS (including Investor’s Edge, Simplii and ASG). Primary responsibilities include monitoring of all communications to ensure adherence to code of conduct, regulatory guidance and overall brand protection in accordance with standards established by OSFI, FCAC, CIRO, CSA, CFTC, SEC and others.

The incumbent will be responsible for the implementation and maintenance of regulatory requirements including daily surveillance and supervision. Among these daily tasks, the incumbent will assist the Director with the management of the group, ensuring tasks are completed on time with issues escalated in an effective manner.

The incumbent is also responsible for providing oversight, guidance and training to other members of the team in order to achieve departmental goals and objectives in relation to key initiatives and projects. The incumbent must also be adept at understanding regulation and effectively addressing the regulatory risks to CIBC’s sales and trading franchise.
- 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- Supervision - Supervision & Governance acts as the delegated supervisor for Global Markets and DFS. The incumbent is responsible for assisting the Director of the group and the Head of Supervision & Governance fully and properly supervise all employees to ensure compliance with applicable regulatory requirements and managing regulatory risk. As required, assist the bus ness with communication plans to clients, marketplaces and regulators. Follow up on incidents and track actions to completion. Supervision and review of daily electronic correspondence relating to Capital Markets and DFS. Liaise with sales/traders when required, supporting the front-office. Review/provide feedback/input with respect to all aspects of the supervision program. Other items, as relevant.- Regulatory Enquiries & Compliance - Act as a liaison on behalf of the business between Compliance and Regulators. Assist with regulatory and compliance requests and responses, ensuring enquiries are handled timely and in a professional manner. Engage clients and internal traders where necessary, providing guidance and education and/or change behavior where indicated. Escalate non-routine regulatory enquiries to registered supervisors as relevant.- Audits/Reviews - Provide assistance and feedback during internal audit and regulatory reviews. Work with stakeholders to remediate any gaps identified during the reviews/audits.- Other responsibilities - Participate in industry working groups and committees to stay abreast of industry issues and views. Assist with vendor relationships related to supervision systems, as required. Maintain relationships with regulators and regulatory bodies and stay abreast of ongoing regulatory developments to analyze and assess impact to the business. Participate in projects, other initiatives and committees as required by business needs.

Who You Are- You have an undergraduate degree in a relevant program such as Business, Mathematics, Economics, Engineering, Finance, etc.- You have 3-5 years experience working in the financial services industr

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