Capital Markets Compliance Analyst

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 are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are and what they contribute.

To learn more about CIBC, please visit CIBC.com

What You'll Be Doing

The US Capital Markets Compliance Analyst is responsible for performing important surveillance functions to support CIBC's U.S. Compliance program. The Compliance Analyst will 1) help administer key policies; 2) monitor activities to ensure compliance with CIBC policies and industry regulatory requirements; 3) assist senior compliance officers on specific regulatory requirements and special projects including Electronic Blue Sheet Reporting and Employee Registration; and 4) maintain procedures to ensure that certain controls are appropriately documented and performed.

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:

The US Capital Markets Compliance Analyst is primarily accountable for:

• Processing employee and firm registrations (e.g. U4, U5, Form BD).
• Performing surveillance of U.S. broker-dealer regulatory trade reporting obligations
• Performing electronic communications surveillance of U.S. trading desk personnel to identify issues of potential regulatory concern;
• Monitoring for potential conflicts of interest and code of conduct violations, which includes employee brokerage account setup, monitoring employee's personal trading and gifts/entertainment;
• Maintaining key policies and procedures relating to the U.S. broker-dealer, RAS and Non-RAS Metrics;
• Providing support with ongoing regulatory matters within U.S. Capital Markets, including Cash Equities, Equity Derivatives, Delta 1, Fixed Income Sales and Trading, FX Sales, Stock Loan and U.S. Repo;
• Prepare and submit Electronic Blue Sheet requests to regulators

Cross-Functional Responsibilities

This job requires interaction with:

• Technology in order to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria;
• Senior Compliance Officers to collaborate with potential regulatory issues and net new rule requirements;
• Infrastructure support groups (e.g., Finance and Operations) to collaborate on control issues;
• US Legal to seek interpretive guidance on technical regulatory requirements; and
• US regulators and CIBC Internal Audit staff during regulatory exams and audi

Compliance Requirements / Responsibilities

• As an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls.
• As a Compliance Officer, this job is accountable for reviewing the work of others in the business unit to ensure adherence with all CIBC and LOB governance requirements;
• As an employee of CIBC, the incumbent must complete all annual training requirements

Authorities / Decisions Responsibilities

• As a key contributor to the business unit, this job has the authority to recommend changes to business processes in order to enhance operational efficiency and effectiveness.

Who You Are:

• Bachelor's degree in business administration, finance, economics, or similar preferred; MBA a plus;
• Strong technical skills in Microsoft Excel, PowerPoint, SharePoint, Word;
• Strong interpersonal skills in order to maintain working relationships;.
• Excellent verbal and writing skills;
• Series 7 preferred (Series 4, 57 licenses are a plus);
• Understanding of U.S. financial regulatory landscape, with an emphasis on U.S. broker-dealer;
• Understanding of securities registration requirements preferred;

At CIBC, we offer a competitive total rewards package. This role has an expected salary range of $90,000-$100,000 for the New York City, NY market based on experience, qualifications, and location of the position. The successful candidate may be eligible to participate in the relevant business unit's incentive compensation plan, which also may include a discretionary bonus component. CIBC offers a full range of benefits and programs to meet our employee's needs; including Medical, Dental, Vision, Health Savings Account, Life Insurance, Disability, and Other Insurance Plans, Paid Time Off (including Sick Leave, Parental Leave, and Vacation), Holidays, and 401(k), in addition to other special perks reserved for our team members.

Candidates hired to work in other locations will be subject to the pay range associated with that location. Additional total compensation and benefits details will be provided during the hiring process.

What CIBC Offers

At CIBC, your goals are a priority. We start with your strengths and ambitions as an employee and strive to create opportunities to tap into your potential. We aspire to give you a career, rather than just a paycheck.

• We work to recognize you in meaningful, personalized ways including a competitive salary, incentive pay, banking benefits, a benefits program*, a vacation offering, wellbeing support, and MomentMakers, our social, points-based recognition program.
• Our spaces and technological toolkit will make it simple to bring together great minds to create innovative solutions that make a difference for our clients.
• 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.

*Subject to plan and program terms and conditions

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, please contact Mailbox.careers-carrieres@cibc.com
• 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.
• We may ask you to complete an attribute-based assessment and other skills tests (such as simulation, coding, MS Office). Our goal for the application process is to get to know more about you, all that you have to offer, and give you the opportunity to learn more about us.

Job Location
NY-300 Madison Ave., 6th Floor

Employment Type
Regular

Weekly Hours
40

Skills
Accountability, Business, Capital Markets, Compliance Monitoring, Compliance Programs, Compliance Requirements, Customer Onboarding, Employee Relationships, Ensure Compliance, Finance, Hiring, Management Reporting, Regulatory Compliance Management, Regulatory Reporting, Sanctions Screening, Suspicious Activity Reporting (SAR)