Analyst, Supervision

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What You’ll Be Doing

The Analyst, Business Effectiveness, Capital Markets is a professional who utilizes diverse methods and skills to oversee the end-to-end client onboarding activities for new clients and participates in Capital Markets strategic initiatives globally. The role makes decision on moderately complex issues that contribute to the client experience, including review of client cases submitted by Analysts to ensure documentation and data is correct, ensure clients are onboarded in a timely manner, risk reviews are completed, and escalate clients accordingly when required. The role exercises independent judgment, being accountable at all times for following CIBC communication standards and procedures in relation to regulatory guidelines. The role works with limited guidance and acts as a single point of contact for clients, front staff, and internal stakeholders by addressing concerns and providing resolutions.

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 Analyst, 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. Escalat