Associate, Compliance Monitoring

3 months ago

Toronto, Canada CPP Investments Full time

**Company Description** Make an impact at a global and dynamic investment organization**

When you invest your career in CPP Investments, you join one of the most respected and fastest growing institutional investors in the world. With current assets under management valued in excess of $500 billion, CPP Investments is a professional investment management organization that globally invests the funds of the Canada Pension Plan (CPP) to help ensure long-term sustainability. The CPP Fund is projected to reach $3 trillion by 2050. CPP Investments invests in all major asset classes, including public equity, private equity, real estate, infrastructure and fixed-income instruments, and is headquartered in Toronto with offices in Hong Kong, London, Luxembourg, Mumbai, New York City, San Francisco, São Paulo and Sydney.

CPP Investments attracts and selects high-calibre individuals from top-tier institutions around the globe. Join our team and look forward to:

- Diverse and inspiring colleagues and approachable leaders
- Stimulating work in a fast-paced, intellectually challenging environment
- Accelerated exposure and responsibility
- Global career development opportunities
- Being motivated every day by CPP Investments’ important social purpose and unshakable principles
- A flexible/hybrid work environment combining in office collaboration and remote working
- A deeply rooted culture of Integrity, Partnership and High Performance

If you share a passion for performance, value a collegial and collaborative culture, and approach everything with the highest integrity, here’s an opportunity for you to invest your career at CPP Investments.

Reporting to the Manager, Compliance Monitoring - Public Markets Compliance, the Associate will play a pivotal role in supporting investment activity by CPPIB and its portfolio companies though the identification of potential sources of perceived conflicts of interest and the management of restricted lists and information barriers related to the controlled handling of Material Non-Public Information (“MNPI”) for purposes of adherence with associated internal frameworks and external regulatory requirements. The position will also assist in evolving compliance monitoring procedures in support of the management and advancement of critical investment surveillance activities necessary to promote conformity with the CPPIB Act, Regulations and Policies as well as other pertinent legislative/regulatory obligations outside the firm. Accordingly, this role will turn requirements into action and work closely with other functions within the immediate Compliance Monitoring team to achieve planned objectives, collaborating effectively with other internal teams/departments toward this end.

**Role-Specific Accountabilities**:
Deliberate Execution
- Drive excellence in the management of the end-to-end Restricted List life cycle including, but not limited to, commercial conflict clearance, implementation of restrictions and safe dismantlement thereof.
- Support and conduct firm-wide training on the commercial conflict check and related Restricted List processes on both a recurring and ad hoc basis.
- Prepare/Oversee routine and ad hoc post-trade compliance checks/tests and reports on a timely, complete and accurate basis; adapting with agility to deliver high performance results.
- Collaborating with external counsel and internal partners as required, provide prompt and agile response to any stakeholder, regulator, and auditor queries as they arise.
- Demonstrate an owner’s mindset by promoting robust data control around relied-upon information in order to maintain the integrity of processes in place in support of compliance monitoring and reporting.
- Draft written contributions to cross-functional investment implementation documents as well as procedural/desktop/working file documentation for business continuity/training/audit purposes.
- Leverage both technology and pragmatism in the management of small initiatives and projects end-to-end, integrating stakeholder needs, adapting to changes and resolving issues as they arise. Represent Compliance Monitoring by contributing to cross-functional projects, as required.

Strategic Thinking
- Use intellectual curiosity to proactively locate potential gaps in current state processes; engineer and establish corrective action plans to resolve those vulnerabilities; and prevent similar exposures from developing in the future.
- Advisor and resource to the Manager role on potential compliance monitoring obligations triggered by contemplated investment activities including new products and/or programs as well as new external portfolio manager mandates.
- Demonstrate thought leadership in the research, design and implementation of new controls and/or refinements to existing compliance checks/tests to support novel investment activities as well as unfolding business and legislative/regulatory requirements.
- With consideration to upstream/downstrea

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