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 PURPOS
E
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 relationshi
ps.
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 ba
sis.
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 appe
tite.
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 prac
tices.
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 ap
petite.
The Associate will work closely with senior stakeholders and is expected to manage multiple workstreams simultaneously in a fast‑paced Capital Markets envi
ronment.
KEY ACCOUNT
ABILITIES
Business Effectiveness & Operational
- EnablementSupport front‑to‑back process execution across Capital Markets initiatives, including client onboarding optimisation, regulatory enablement, and lifecycle g
- overnance.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 o
- perations.Expected to self-motivate and prioritize multiple
deadlines.
Stakeholder Coordination & Deliv
- ery SupportEffectively manage relationships with clients and be their main point
- of contactBuild 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 agree
- d 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 & Complian
- ce OwnershipOwn the validation, and documentation of regulatory data required for direct client onboardings and fund account openings, ensuring completeness and accuracy prior to acco
- unt 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 lifecy
- cle reviews.Maintain audit‑ready documentation and evidence to support regulatory reviews, internal audits, and cont
rol testing.
Clie
- nt 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 ar
e introduced.
Data Management &
- amp; ReportingIdentify inconsistencies in client and product data with the objective of remediating these discrepa
- ncies or gaps.Manage individual and team email inbox in a timely manner while addressing the inquiries and requests
- professionallyProduce, maintain, and enhance management reporting, dashboards, trackers, and executive materials to support senior management visibility across delivery, capacity, risk, an
- d performance.Support ad‑hoc information requests from senior stakeholders, ensuring outputs are accurate, clearly structured, and de
cision‑useful.
Process Optimisation & Continu
- ous ImprovementMeet 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 lev
- el of accuracy.Identify opportunities for simplification, standardisation, automation, and efficiency improvements across busi
- ness processes.Participate in testing, implementation, and rollout of system and process enhancements, including UAT support where required, may be required du
- ring off hours.Contribute to a culture of continuous improvement by challenging existing processes and proposing pragmatic, risk‑ali
gned solutions.
COMPLIANCE REQUIREMENTS/
- RESPONSIBILITIESAs an employee of CIBC, the incumbent must comply with all applicable CIBC and Line of Business policies, standards, guidelin
es and controls.
KNO
- WLEDGE AND SKILLSExperience: 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 exter
- nal 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 institut
- ions 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 prioritie
- s 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 techniq
- ues 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 app
- ropriate 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 w
- ith 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 consi
- dered a key assetQualifications: University degree required; a background in Finance or Account
ing is preferred.
- WORKING CONDITIONSUnder 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, dema
nding environment.
