CIBC
Financial Services
SeniorAssociate,RegulatoryComplaints
“Senior Associate, Regulatory Complaints at CIBC. Skills: Regulatory Complaints, Risk Assessment, Client Complaints. Investigate and respond to client complaints. Recommend corrective action”
What You'll Achieve.
Effectively investigate and respond to client complaints; Recommend corrective action; Provide informed recommendations on compliance quality operational controls; Provide informed recommendations on risk assessment; Provide informed recommendations on control activities; Provide clients with a written response within the prescribed regulatory guideline of 90 calendar days; Provide recommendations to the Senior Manager of Regulatory Complaints and Branch Managers for client resolutions; Perform detailed risk assessments and root cause analyses on control gaps and operational losses; Compile, synthesize and summarize results of risk assessments; Identify potential risk and control issues; Participate in risk assessment activities and discussions; Respond to all regulatory queries in an accurate and timely manner; Identify areas of exposure requiring action; Participate in business, governance and regulatory projects to identify risk and control issues; Develop high level requirements for control processes and gaps within projects and new initiatives; Support all activities for the execution of the Control Framework requirements; Support development of remediation action plans
Industry & Context.
Problem-solving skills; Investigating complex problems; Making sense of information; Critical thinking skills
What They're Looking For.
Must Have
Experience in investment regulatory supervision, Experience in investment compliance, Experience in investment advisory roles, Current accreditation and good standing in the Canadian Securities Course (CSC), Current accreditation and good standing in the Branch Manager’s Course (BMC), Current accreditation and good standing in the Investment Dealer Supervisors Course (IDSC), Current accreditation and good standing in the Branch Compliance Officer (BCO) Course
Nice to Have
Bilingual English & French
What You'll Do.
Investigate and respond to client complaints
Recommend corrective action
Apply understanding of high-risk processes
Utilize problem-solving skills
and provide recommendations
Determine methods and approaches to work
Liaise with internal and external sources
Document findings of research
Support relationship management activities
Partner and interact with peer levels
Act as lead to investigate complaint
Interview client and business contacts
Provide clients with written response
Provide recommendations for client resolutions
Perform root cause analyses
Map business controls
Identify potential failure modes
Respond to regulatory queries
Develop and maintain relationships with regulators
Identify areas of exposure
Participate in business
and regulatory projects
Consult on new initiatives
Develop high level requirements
Analyze and/or develop changes
Support execution of Control Framework
Support development of remediation action plans
How You'll Work.
Team & Collaboration
Partner and interact with peer and one up levels within the Line of Business; Partner and interact with 2nd and 3rd Lines of Defense; Liaise with regulators, internal and external counsel; Liaise with CIBC Client Complaints & Appeals Office; Work with management to implement recommendations; Work collaboratively
Communication Scope
Communicate detailed information in an impactful way
Process & Methodology
Project Management
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