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Investment Controls Consultant

2 months ago

Old Toronto, Ontario, Canada Canadian Imperial Bank of Commerce Full time
About the Role

We are seeking a highly skilled Investment Controls Consultant to join our team at the Canadian Imperial Bank of Commerce. As a key member of our Asset Management group, you will be responsible for providing oversight of our investment processes to ensure compliance with regulatory requirements and client-specific investment guidelines.

Key Responsibilities
  • Establish and Maintain Compliance Processes: Develop, implement, and document policies and procedures for pre and post-trade compliance monitoring, primarily for derivatives.
  • Monitor and Report on Investment Activities: Oversee portfolio manager's investment processes to provide reasonable assurance that all regulatory and client-specific investment requirements are adhered to.
  • Stay Up-to-Date on Regulatory Requirements: Maintain knowledge and expertise of existing Canadian and foreign securities legislation/regulations and developments in investment markets, including derivatives.
  • Participate in Ad-Hoc Projects: Act as a subject matter expert on projects and product launches, and represent Investment Controls on various risk management and controls meetings.
  • Manage Stakeholder Relationships: Provide responses to queries from various stakeholders, including Business Controls, Wealth Management Compliance, Global Operational Risk Management, Internal Audit, and external audit.
  • Drive Operational Change: Identify and remove obstacles to performance, and drive operational change to deliver cost-effective enhanced controls within our risk appetite.
Requirements
  • Experience in Investment Compliance Monitoring: Proven experience in investment compliance monitoring, derivatives instruments, and asset management experience in the financial services/banking sector.
  • Knowledge of Regulatory Requirements: Knowledge of relevant regulatory requirements, including securities legislation, pension, and insurance legislation.
  • Education and Certifications: Degree in finance, business, commerce, and/or relevant field. CFA certification is an asset.
  • Skills and Abilities: Strong analytical and problem-solving skills, proficiency with Excel macros, VBA, Access databases, querying languages, and experience with Bloomberg Compliance/Violations Manager or similar compliance platforms.
About CIBC

CIBC is a leading financial institution that 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. If you need accommodation, please contact us.

We offer 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.

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.