Consultant, Business Controls
2 months ago
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
As a member of CIBC’s Regulatory Complaints Team, the Consultant, Business Controls is responsible for working to effectively to investigate and respond to client complaints of a regulatory nature. You will be responsible to recommend corrective action across multi-segment lines management as it pertains to regulatory requirements. The role applies advanced understanding of inherently high-risk processes and regulatory requirements for licensed Registrants; strong problem solving skills to investigate, analyze, and provide informed recommendations on compliance issues;, quality operational controls, risk assessment, and control activities. The Consultant, Business Controls uses independent judgement to determine methods and approaches to work, liaising with internal and external sources to obtain, provide, verify, and discuss information and best practices. Acting as a resource integrator for their area, the role independently documents findings of research, analysis, and calculations, developing models, detailed plans, reports, findings and conclusions for use in the decision making process.
- 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
- Relationship Management - Support the relationship management activities for the assigned Line of Business, in partnership with the Sr. Consultant, and Director, Governance and Controls. Partner and interact with peer and one up levels within the Line of Business, and 2nd and 3rd Lines of Defense. Investigate and respond to client complaints which are regulatory in nature. Act as lead to investigate the regulatory complaint, interview the client along with other business contacts, and provide clients with a written response within the prescribed regulatory guideline of 90 calendar days. Responsible to provide recommendations to the Manager and Director of Regulatory Complaints and Branch Managers for client resolutions along with root cause analysis.
- Risk Assessment - Identify potential risk and control issues and then participate in risk assessment activities and discussions. Perform detailed risk assessments and root cause analyses on control gaps and operational losses. Compile, synthesize and summarize results of risk assessments. Map business control processes; identify potential failure modes and control gaps. Liaise with regulators, internal and external counsel and CIBC Client Complaints & Appeals Office regarding escalated complaints and legal actions. Respond to all regulatory queries in an accurate and timely manner. Develop and maintain strong relationships with the various regulatory organizations. Identify areas of exposure requiring action and work with management to implement recommendations.
- Project Management - Participate in business, governance and regulatory projects to identify risk and control issues. Consult on new initiatives from a risk and controls perspective. Develop high level requirements for control processes and gaps within projects and new initiatives. Analyze and/or develop changes to control processes or procedures. Support all activities for the execution of the Control Framework requirements. Support development of remediation action plans.
Who you are
- You're passionate about people. You find meaning in relationships, and surround yourself with a diverse network of partners. You build trust through respect and authenticity.
- You can demonstrate experience in CIBC Wealth Management and CIBC Retail Markets. You have extensive knowledge of risk management principles, practices, policies and procedures.
- You’re a certified professional. You have current accreditation and good standing in the Canadian Securities Course (CSC), Conduct and Practice Handbook (CPH), and either the Branch Manager’s Course (BMC) or Partners, Directors & Officers Course (PDO) within 3 months of hire.
- Your influence makes an impact. You know that relationships and networks are essential to success. You inspire outcomes by making yourself heard.
- 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.
- 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 s
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