Associate, Client Onboarding
2 months ago
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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.
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**Job Description**:
JOB PURPOSE
Client Services and Data Management has the mandate to onboarding direct clients, funds, shared clients and broker counterparties for the Capital Markets lines of business as well as to manage a robust and effective client lifecycle process for Capital Markets clients. The CS&DM team is responsible for end-to-end client onboarding activities within the above specified space, which consists of client data and information collection through research and interaction with numerous stakeholders including, Front Office, Legal Documentation, Credit, Operations and clients. Accurate client data is captured, validated, stored and maintained throughout the client’s lifecycle with CIBC Capital Markets, together with supporting documentation, to meet various regulations and reporting needs.
Reporting to the Director, the incumbent executes and/or facilitates the end-to-end client onboarding and client AML refresh activities for direct clients, new and existing funds, shared clients and brokers as well as performs regular and ad-hoc activities to ensure a consistent client lifecycle data management environment. The incumbent may be required to participate in and support Capital Markets strategic initiatives under the leadership of the Executive Director and/or Head of Client Service & Data Management.
KEY ACCOUNTABILITIES
Client Onboarding, Client AML Refresh and Data Management
- Work directly with Front Office, Operations, Client Services, and other stakeholders to process client and product onboarding requests while providing a smooth and seamless onboarding experience.
- Act as the primary contact for the Front Office to provide the overall status and progress on client and product onboarding requests and AML risk refresh activities.
- On behalf of the Front Office, coordinate onboarding activities as required by Legal, Compliance, EAML, Operations, Trade Control, Client File Admin, Client Services, Credit, etc.
- Resolve issues and/or delays associated with a client or product onboarding requests and AML refresh cases and escalate to senior management as required.
- Ensure client onboarding procedures are followed and reflect new regulatory requirements, policy changes, and procedural changes as they evolve and are introduced into the operations of the team.
- Identify opportunities for automation and enhancements to current processes and procedures that support operational efficiencies and contribute to a client centric operating model and environment.
- 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.
- Expected to self motivate and prioritize multiple deadlines associated with front office or senior management requests.
- Enforce and adhere to CIBC policies and departmental procedures at all times.
Relationship Management
- Effectively manage relationships with clients and internal stakeholders, including Senior Management in Front Office, as well as Legal, Compliance, Technology and Operations stakeholders
- 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.
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 REQUIRED
- Minimum of 3 years of experience in the area(s) of Client Onboarding, Trade Control/Trade Desk Support or Operations preferably in the Capital Markets line of business
- _ Customer Service Management_: Well defined knowledge of tools and techniques for maintaining an environment where all understand, and are committed to, providing excellent service to internal and external customers. Strong sense of accountability and ownership over client experience and end-to-end client on-boarding processes.
- _ Communication: _Excellent verbal and written communication, problem solving and analytical thinking skills. Ability to diffuse complaints and negotiate compromises. Ability to influence decisions and gain consensus with multiple stakeholders where needed. Ability to directly address conflicts and escalate issues, when and where appropriate, maintaining a sense of urgency to ensure onboarding targets are met.
- _ Business Knowledge: _Must have Capital Markets clientele, business and product knowle
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