Sr. Analyst, Investment Controls, Governance & Controls


Job title: Sr. Analyst, Investment Controls, Governance & Controls

Company: CIBC

Job description: We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients.

At CIBC, we embrace your strengths and your ambitions so you feel empowered at work. Our team members have what they need to make a meaningful impact and feel truly valued for who they are and what they contribute.

To learn more about CIBC, please visit

Job Description

What You’ll Be Doing

As the Senior Analyst, Investment Controls you will perform and enhance monitoring of portfolios’ transactions and holdings to ensure compliance with securities legislation and investment policy guidelines as agreed to by investment managers. You will also act as back-up for running automated monitoring. The Senior Analyst will also perform analysis of portfolio holdings and transactions that cannot be monitored electronically, assist in maintaining thorough documentation of monitoring performed and communication of exceptions.

How You’ll Succeed

  • Analytical Skills – Analyze output from various sources to determine validity of exceptions. Thorough documentation, distribute and follow-up on exceptions with portfolio managers and CIBC Asset Management stakeholders until there is a timely resolution or escalate as necessary.
  • Platform & Process Monitoring – Primarily responsible for the ICS Monitoring platform (Separately Managed Account (SMA) program), maintain the Investment Policy Guideline Implementation Process (for both Mutual Funds & ICS) and review of new Exchange Traded Funds and VaR funds. Assist in production of templates for the ICS/Mutual Fund Compliance certificates.
  • Regulatory Support – Provide regular reporting to Senior Manager, Investment Controls, Governance & Controls and participate in meetings with the Investment Controls, Governance & Controls. Assist with regulatory request inquiries and make recommendations to resolve issues. Work with parties to implement recommendations. Provide responses to queries from various stakeholders including internal audit, external audit, CIBC Asset Management and regulators.

Who You Are

  • Values matter to you. You bring your real self to work and you live our values – trust, teamwork and accountability.
  • You’re a certified professional. You have current accreditation and good standing Canadian Securities Course (CSC). You have obtained or are working towards the Chartered Financial Analyst (CFA) designation.
  • You have the ability to translate technical issues into language for the non-specialist and communicate professionally with all levels of staff and management.
  • You can demonstrate advanced knowledge of Excel, including the ability to understand and build macros, pivot tables and other features in order to efficiently identify positions, trends and enable analysis of the information.
  • You must have the capability to prioritize and multi task heavy workload, meet strict deadlines and possess effective time management skills.
  • You understand that success is in the details. You notice things that others don’t. Your critical thinking skills help to inform your decision making.

What CIBC Offers

At CIBC, our people are our greatest asset. You’ll become part of a diverse community that acknowledges everyone’s unique talents, and empowers teams to do what’s right for the client, and to do it well. As part of our team, you will:

  • Thrive: Benefit from an open and approachable culture that provides the flexibility and support you need to integrate your life at work and at home
  • Connect: Work in a place where the right technology and infrastructure fosters innovation, collaboration and creativity
  • Develop: Grow your skills and career through our best-in-class onboarding experience, ongoing learning opportunities, individual development planning, and comprehensive product training
  • Prosper: Share in our collective success with a competitive salary, incentive pay, banking benefits, health benefits program, and employee share purchase plan

What You Need to Know

  • 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 we provide an accessible candidate experience. If you need accommodation during the application or interview process, please contact
  • 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

Job Location 18 York Street, 13th Floor

Employment Type Regular

Weekly Hours 37.5

Expected salary:

Location: Toronto, ON

Job date: Wed, 28 Oct 2020 07:20:25 GMT

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Job Location