Senior Analyst,Investment Controls Job Toronto area,Ontario Canada,Finance & Banking

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What you'll be doing

Reporting to the Senior Manager, Investment Controls, the Senior Analyst, Investment Controls is responsible to provide the first level of oversight of CAM retail 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.

How you'll succeed

Policy and Compliance - Establish policies and processes for post-trade compliance monitoring, primarily. Develop, implement and document policies and procedures in accordance with standards set forth by various regulatory bodies, CIBC Asset Management, Legal, Compliance.

Compliance Monitoring and oversight - perform complex compliance monitoring reviews and deliver actionable, data-driven insights that support the continuous enhancement of monitoring activities across CAM retail investment mandates. Primary responsibility for the ICS Separately Managed Account (SMA) Program. Maintain oversight of securities lending activities. Contribute to the creation of the monthly compliance certificates tracking regulatory and investment policy guideline exceptions, and contribute to the creation of heat maps and quarterly board presentations for senior stakeholders.

Control Evaluation and Product Monitoring Enhancement – Evaluate the adequacy and effectiveness of key controls, support the onboarding of unconventional or complex new product launches into the monitoring framework. Oversee the investment policy guideline process, incorporating new or evolving monitoring requirements as needed. Perform trend analysis to identify control or compliance gaps and contribute to the development of manual and automated processes to improve monitoring efficiency.

Regulatory Analysis - Maintain strong knowledge of existing Canadian and foreign (particularly U.S.) securities legislation/regulations and developments in investment markets (including derivatives) that will impact CAM products. Analyze new and pending regulations as they relate to the asset management industry, providing management advice and assistance in the implementation of changes for adherence.

Investment Controls - Enhance the profile of the Investment Controls team by developing and maintaining a high level of capability and knowledge. Manage or participate in ad-hoc projects; act as a subject matter expert on projects and product launches. Represent Investment Controls on various risk management and controls meetings.

Communication and Operational Change- Provide responses to queries from various stakeholders including Business Controls, Wealth Management Compliance (WMC), Global Operational Risk Management (GORM), Internal and External Audit. Manage performance by providing fair and accurate formal and informal feedback, identifying and removing obstacles to performance and by explaining how performance expectations align with business priorities. Drive operational change to deliver cost effective enhanced controls within our risk appetite.

Who you are

You can demonstrate experience of over 2 years in Asset Management. It’s an asset if you have experience with compliance platforms (e.g. BNY Compliance Monitor, Bloomberg Compliance/Violations Manager, Fidessa Sentinel, Charles River Compliance etc.).

You’re a regulatory expert. You are knowledgeable of relevant regulatory requirements, including securities legislation (e.g. NI 81-102).

You’re analytical. You have strong data analysis skills for tracking, identifying and analyzing trends, root causes in issues or exceptions. Have meticulous attention…