Senior Investment Analyst

1 month ago

Old Toronto, Ontario, Canada Canadian Imperial Bank of Commerce Full time
Senior Analyst, Investment Controls

At Canadian Imperial Bank of Commerce, we're building a relationship-oriented bank for the modern world. We're seeking a talented, passionate professional to join our team as a Senior Analyst, Investment Controls.

This role is responsible for providing oversight of CAM retail, institutional, and private wealth investment mandates, which employ multi-asset class investment solutions. The group establishes processes and procedures to ensure portfolio holdings and transactions are compliant with legislative and investment policy guidelines/statements, with a focus on derivative instruments.

Key Responsibilities:

  1. Establish policies and procedures for pre and post-trade compliance monitoring, primarily for derivatives.
  2. Perform effective monitoring and reporting of portfolio manager's investment processes to provide reasonable assurance that all regulatory and client-specific investment requirements are adhered to.
  3. Maintain knowledge and expertise of existing Canadian and foreign (particularly U.S.) securities legislation/regulations and developments in investment markets (including derivatives) that will impact CAM products.
  4. Manage and participate in ad-hoc projects; act as a subject matter expert on projects and product launches.
  5. Represent Investment Controls on various risk management and controls meetings.
  6. Provide responses to queries from various stakeholders, including Business Controls, Wealth Management Compliance (WMC), Global Operational Risk Management (GORM), Internal Audit, and external audit.
  7. Manage performance by providing fair and accurate formal and informal feedback, identifying and removing obstacles to performance, and explaining how performance expectations align with business priorities.

Requirements:

  1. Experience in investment compliance monitoring, derivatives instruments, and asset management experience in the financial services/banking sector.
  2. Proficiency with Excel macros, VBA, Access databases, querying languages.
  3. Familiarity with Bloomberg Compliance/Violations Manager, thinkFolio compliance functionality, or similar compliance platforms.
  4. Data analysis skills for tracking, identifying, and analyzing trends, root causes in issues or exceptions.
  5. Familiarity with Derivatives products, relevant regulatory requirements, including securities legislation, pension, and insurance legislation.
  6. Degree in finance, business, commerce, and/or relevant field.
  7. Completed CFA is an asset.

What We Offer:

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, employee share purchase plan, 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.

What You Need to Know:

  1. 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 provide an accessible candidate experience.
  2. 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.
  3. We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, French proficiency, MS Office).

Job Location: Toronto-161 Bay St., 22nd

Employment Type: Regular

Weekly Hours: 37.5

Skills: Analytical Thinking, Asset Management, Compliance Monitoring, Compliance Oversight, Compliance Reporting

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