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BUSINESS UNIT DESCRIPTION

CIBC Capital Markets delivers Sales & Trading, Investment Banking and Corporate Banking solutions, and top-ranked research, to institutional, corporate and government clients across Canada, the United States, Europe and Asia-Pacific.

Supervision & Governance (S&G) is cross-functional 1st Line of Defence unit specialising in Market Conduct. S&G proactively supports the Capital Markets businesses through a range of independent oversight activities including Controls & Assurance, Trade Surveillance, Communication Surveillance and Conduct Supervision.

JOB PURPOSE 

As Capital Markets continues to experience strong growth across its Asia-Pacific franchise, an exciting opportunity has emerged to play a leading role in the enhancement and execution of a smart, sustainable and effective Supervision Framework.

The Regional Lead will serve as an individual contributor and will be responsible for driving the execution of the Regional Supervision Programme and ensuring the region’s Market Conduct and Client Protection risks are effectively identified and controlled. This a broad role that will require a combination of hands-on execution of supervisory controls, investigation of alerts or breaches escalated by other control partners, driving local thematic reviews and risk assessments, and overseeing local Business Supervisors to ensure they discharge their oversight duties effectively.

The successful candidate will be the primary owner and point of contact for all regional 1st line Risk & Control matters.

The role requires a self-starter used to operating independently, comfortable in working closely with Senior Management and Business Heads and driving practical risk and control outcomes in a fast-paced, front-office environment.

The regional focus of the role is on the Asia-Pacific Region, although the Regional Lead will also support some Global and European initiatives.   

Key Responsibilities

Risk & Control

• Execute a suite of independent supervisory controls to identify Market Conduct and Client Protection risks.
• Analyse trading, supervisory and surveillance data to identify unusual patterns, emerging risks, policy breaches and control weaknesses.
• Investigate control exceptions and conduct-related incidents, determining root causes and appropriate remediation actions.
• Partner with Trade Surveillance and Communications Surveillance teams to investigate alerts, exceptions and potential breaches.
• Collaborate closely with Sales and Trading Desks to continuously assess and enhance the 1st line control environment.

Supervision

• Oversee the Asia-Pacific Capital Markets Supervision Framework, ensuring Regional Management and Desk Heads maintain effective supervision of employees in accordance with local regulatory requirements and CIBC policies and standards.
• Maintain real-time oversight of employee conduct across Capital Markets and ensure Business Supervisors carry out appropriate investigation and remediation of any conduct concerns, policy violations and control deficiencies.
• Provide independent oversight of management actions taken in response to employee misconduct, control breaches, surveillance alerts, complaints and other supervisory events.
• Complete the quarterly conduct-reviews with Business Supervisors, ensuring all relevant compliance, risk and conduct matters owned by the Desk are accurately recorded and closed-out.
• Monitor the effectiveness of desk-level supervisory practices and challenge Business Supervisors where oversight obligations or best practices are not being discharged appropriately.
• Support Business Heads in understanding emerging conduct, client protection and regulatory risks affecting their businesses, while reinforcing ownership and accountability within the first line. 

Governance

• Maintain and enhance S&G’s regional supervisory policies, procedure and governance frameworks.
• Support S&G’s Governance of Algorithmic Trading in the region, including the assessment of new applications and oversight of existing algorithmic trading systems.
• Develop and deliver supervisory reporting, control dashboards and management information for senior management and governance committees.
• Support internal audits, compliance reviews, regulatory examinations and inquiries relating to supervisory controls, market conduct and client protection risks.
• Represent the Supervision & Business Risk function at governance forums and working groups across the region.
• Drive enhancements to supervisory controls, reporting and monitoring capabilities through data analytics, automation and process improvement. 

Horizon Scanning

• Identify emerging Market Conduct and Client Protection risks arising from changes in business strategy, client activity and regulatory expectations.
• Monitor and review publications, directives and enforcement actions issued by Asia-Pacific regulators and assess impact on the regional control environment.
• Conduct thematic reviews and targeted assessments of higher-risk businesses, products, trading strategies and supervisory processes.
• Leverage findings from investigations, complaints, surveillance activity and control reviews to identify recurring themes and opportunities for control enhancement.
• Contribute to the ongoing development and strategic evolution of the Asia-Pacific Supervision Programme.

Qualifications & Experience

Required

• Significant experience within Capital Markets, gained in Supervision, Business Risk & Control, Trade Surveillance, Compliance Advisory or related field.
• Strong understanding of the characteristics and trade cycle of one or more FICC products and/or Equity Derivatives.
• Strong understanding of Market Abuse, Client Protection and Internal Fraud risks within Wholesale Banking and Institutional Sales & Trading.
• Experience conducting investigations involving trading activity, employee conduct violations, surveillance alerts or policy breaches.
• Experience designing, implementing or overseeing control frameworks within a regulated financial institution.
• Strong analytical and problem-solving skills with the ability to interpret large datasets and identify meaningful trends and risk indicators.
• Strong written and verbal communication skills, including the ability to engage credibly with senior stakeholders.
• Ability to operate independently with limited day-to-day supervision and exercise sound judgement in complex situations.

Preferred

• Experience working directly with front-office Sales and Trading businesses.
• Experience in Trade Surveillance, Communications Surveillance, Front Office Supervision or Market Conduct Risk.
• Knowledge of regulatory requirements for Wholesale Banking and Sales and Trading in Hong Kong and/or Singapore.
• Experience supporting regulatory examinations, internal audits and remediation programmes.
• Familiarity with data visualisation and analytics tools.
• The ability to read Traditional Chinese or Japanese regulatory publications would be an advantage, but not essential. 

What We're Looking For

The successful candidate will combine strong technical expertise with a pragmatic and collaborative approach. They will be comfortable analysing trading data, investigating conduct concerns and executing supervisory controls, while also building trusted relationships with Business Heads and senior stakeholders across the region.

Success in the role requires:·        

• A strong sense of ownership and accountability.
• The ability to work autonomously and drive outcomes independently.
• Strong investigative instincts and intellectual curiosity.
• A practical, solutions-oriented approach to risk management.
• The confidence to challenge constructively when required.
• The ability to build credibility with front-office leaders and influence outcomes through partnership rather than authority alone.
• A commitment to fostering a culture of strong supervision, ethical conduct and fair client outcomes.

This is a highly visible role with significant exposure to regional and global business leadership and offers the opportunity to play a leading role in shaping the future of Capital Markets supervision across Asia-Pacific.

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 [email protected]
• 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

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