Consultant, Investment Controls

Location: Toronto, Ontario, Canada; hybrid work with 1–3 days per week on-site and the remaining days remote

Company

CIBC is a relationship-oriented bank providing banking and asset management services.

What you will do

• Establish, implement, and document pre- and post-trade compliance policies and processes, with a focus on derivatives.
• Monitor portfolio managers’ investment activities against regulatory and client-specific requirements.
• Track Canadian and foreign securities legislation, assess regulatory developments, and advise on implementation changes.
• Participate in ad hoc projects, product launches, and risk management and controls meetings as an Investment Controls subject matter expert.
• Respond to questions from internal control, compliance, risk management, and audit stakeholders.
• Develop reporting capabilities to identify trends, root causes, exceptions, and control performance, while driving operational improvements.

Requirements

• Experience in investment compliance monitoring, derivatives instruments, and asset management within financial services or banking.
• Proficiency with Excel macros, VBA, Access databases, and querying languages.
• Experience with Bloomberg Compliance/Violations Manager, thinkFolio compliance functionality, or similar compliance platforms.
• Knowledge of derivatives products and relevant securities, pension, and insurance regulations.
• Degree in finance, business, commerce, or a related field, with strong data analysis and communication skills.
• Must be legally eligible to work in Canada at the specified location and hold a valid work or study permit where applicable.

Nice to have

• Completed CFA qualification.

Culture & Benefits

• Hybrid work arrangement with flexibility in managing work activities.
• Competitive salary, incentive pay, banking benefits, and a benefits program.
• Defined benefit pension plan, employee share purchase plan, vacation, and wellbeing support.
• Professional growth and development opportunities, including a paid Purpose Day.
• Inclusive and accessible workplace with accommodation support during the hiring process.

Hiring process

• The process may include an attribute-based assessment and skills tests, such as simulations, coding, or French proficiency assessments.
• Artificial intelligence tools may be used during recruitment.