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BUSINESS UNIT DESCRIPTION
The goal of CIBC’s Capital Markets business is to be the premier client-focused Capital Markets based in Canada. To deliver on this, the capital markets arm of CIBC provides a wide range of credit, capital markets, investment banking, merchant banking and research products and services to government, institutional, corporate and retail clients in Canada and in key markets around the world.
JOB PURPOSE
The Client Services and Data Management team supports the end‑to‑end onboarding of direct clients, funds and brokers for all Capital Markets lines of businesses across Asia Pacific regions. This includes supporting the strategic evolution of capital markets products as it relates to expanding client relationships.
We are responsible for coordinating end‑to‑end process activities, with accountability for the governance deliverables, and stakeholder engagement across the client lifecycle, working in partnership with Front Office, Client Services, Legal, Compliance, Credit teams, Operations and Clients on a daily basis.
The Associate is accountable for maintaining data integrity by ensuring all client and product regulatory information is accurate, complete, and appropriately documented at the point of onboarding and throughout the client lifecycle, in line with regulatory, audit, internal control requirements and CIBC’s risk appetite.
The candidate may be required to participate in and support Capital Markets Strategic initiatives, under the leadership of the Director and working in partnership with Technology and Change Programs to deliver scalable, streamlined and efficient front‑to‑back solutions in support of the continued evolution of best practices.
Responsibilities include regulatory enablement, process standardisation, management reporting, control documentation, and ad‑hoc activities as required, while ensuring outcomes remain aligned with business priorities, regulatory obligations, and CIBC’s risk appetite.
The Associate will work closely with senior stakeholders and is expected to manage multiple workstreams simultaneously in a fast‑paced Capital Markets environment.
KEY ACCOUNTABILITIES
Business Effectiveness & Operational Enablement
Support front‑to‑back process execution across Capital Markets initiatives, including client onboarding optimisation, regulatory enablement, and lifecycle governance.
Contribute to the design, documentation, and continuous improvement of standardised processes, procedures, job aids, and playbooks to support repeatable and auditable outcomes.
Actively support the implementation and embedding of new workflows, process changes, and control enhancements into Business‑As‑Usual operations.
Expected to self-motivate and prioritize multiple deadlines.
Stakeholder Coordination & Delivery Support
Effectively manage relationships with clients and be their main point of contact
Build productive relationships between Capital Markets business teams and key downstream stakeholders including Client Services, Operations, Risk, Compliance, Legal, Technology, and Change Management.
Coordinate information flow, dependencies, and deliverables across stakeholders to support timely execution of initiatives and resolve day‑to‑day issues.
Support governance forums, working groups, and steering discussions by preparing materials, tracking actions, and following through on agreed outcomes.
Provide leadership and guidance to junior team members to ensure overall team competency remains at a high level through cross training of relevant skills and industry knowledge.
Regulatory Data Collection & Compliance Ownership
Own the validation, and documentation of regulatory data required for direct client onboardings and fund account openings, ensuring completeness and accuracy prior to account opening.
Ensure onboarding documentation and client data meet all applicable AML/KYC, tax, regulatory and internal policy requirements before progressing through account enablement.
Act as the primary point of accountability for resolving data quality issues, documentation gaps, and regulatory deficiencies identified during onboarding or lifecycle reviews.
Maintain audit‑ready documentation and evidence to support regulatory reviews, internal audits, and control testing.
Client Lifecycle
Support client onboarding, and lifecycle management initiatives by coordinating documentation, data requirements, and control deliverables.
Ensure procedures and supporting artefacts are kept current with regulatory, policy, and process changes as they are introduced.
Data Management & Reporting
Identify inconsistencies in client and product data with the objective of remediating these discrepancies or gaps.
Manage individual and team email inbox in a timely manner while addressing the inquiries and requests professionally
Produce, maintain, and enhance management reporting, dashboards, trackers, and executive materials to support senior management visibility across delivery, capacity, risk, and performance.
Support ad‑hoc information requests from senior stakeholders, ensuring outputs are accurate, clearly structured, and decision‑useful.
Process Optimisation & Continuous Improvement
Meet established individual and team activity targets and SLA’s while managing tasks in a fast and dynamic working environment. The expectation is to execute responsibilities with efficiency and high level of accuracy.
Identify opportunities for simplification, standardisation, automation, and efficiency improvements across business processes.
Participate in testing, implementation, and rollout of system and process enhancements, including UAT support where required, may be required during off hours.
Contribute to a culture of continuous improvement by challenging existing processes and proposing pragmatic, risk‑aligned solutions.
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.
KNOWLEDGE AND SKILLS
Experience : Minimum of 5 - 7 years’ experience within Client Onboarding, Trade Control / Trade Desk Support, or Operations, preferably within the Capital Markets line of business.
Client & Service Orientation : Strong customer service mindset with a demonstrated sense of accountability and ownership over the end‑to‑end client onboarding experience. Sound understanding of service management tools and techniques to support high‑quality outcomes for both internal and external stakeholders.
Communication & Stakeholder Management : Excellent written and verbal communication skills, with strong analytical and problem‑solving capability. Proven ability to manage difficult conversations, resolve issues, influence decisions, and build consensus across multiple stakeholders. Comfortable escalating matters appropriately and maintaining a sense of urgency to meet onboarding and delivery targets.
Business & Product Knowledge : Solid understanding of Capital Markets clients, products, and business models, with the ability to support client onboarding and lifecycle activity across Sales & Trading, Lending, and Advisory services on a global basis. Familiarity with institutional client types such as Asset Managers, Insurance Companies, Pension Funds, and Sovereign Wealth Funds is essential. Knowledge of Retail, Commercial, or Wealth Banking within CIBC or other financial institutions is an asset.
Execution & Delivery : Demonstrated track record of effective execution and delivery of results in a fast‑paced, high‑pressure environment. Strong organisational skills with the ability to manage multiple priorities simultaneously.
Technology & Process Enablement : Comfortable leveraging technology to drive efficiency and improve outcomes. Ability to quickly learn, understand, and apply new business processes, workflows, systems, and tools. Prior experience with data management concepts and techniques is desirable.
Continuous Improvement Mindset : Strong focus on continuous improvement, with the ability to identify and support opportunities for operational enhancements, process simplification, and efficiency gains.
Research, Analysis & Documentation : Strong research, analytical, and documentation skills, with the ability to collect, validate, consolidate, and present information accurately in appropriate formats.
Decision ‑Making & Critical Thinking : Excellent judgement and critical thinking skills, with the ability to analyse complex situations, evaluate alternatives, and contribute to well‑reasoned decisions in collaboration with stakeholders.
Regulatory & Control Awareness : Must have knowledge of applicable foreign and domestic jurisdictional and company-specific regulations, policies and guidelines affecting business practices. In particular knowledge of AML/KYC, Taxation, Operations, miscellaneous trade reporting requirements (HKMA, MAS, ASIC, FSA, Dodd Frank, CSA, etc) requirements is considered a key asset
Qualifications : University degree required; a background in Finance or Accounting is preferred.
WORKING CONDITIONS
Under normal conditions, this role operates within an office environment with little exposure to adverse working conditions . Open concept office environment with exposure to noise and distractions.
Fast paced, demanding environment.
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