Compliance Monitoring Analyst – Public Markets
1 month ago
Position Overview
Reporting to the Director of Compliance Monitoring for Public Markets, the Compliance Monitoring Analyst/Senior Analyst plays a vital role in assisting with the management and enhancement of essential investment oversight functions. These functions are crucial for ensuring adherence to the CPPIB Act, associated Regulations, and Policies, along with other relevant legislative and regulatory obligations beyond the organization.
Key Responsibilities
- Execute and support independent compliance monitoring activities, including evaluating holdings against regulatory limits and reviewing transactions against various watchlists, while preparing necessary analyses and regulatory disclosures.
- Research, design, and implement new controls and processes, as well as refine existing compliance checks and tests to adapt to the firm's evolving investment activities and changing regulatory landscape.
- Develop and maintain compliance rules within order and execution management systems, investigating any pre- and post-trade flags that arise.
- Utilize analytical skills to identify potential gaps in current processes, engineering corrective action plans to address vulnerabilities and prevent future occurrences.
- Encourage continuous improvement by identifying opportunities for efficiency and scalability, collaborating with technical resources and other departments to meet business needs.
- Provide support to the broader Legal and Compliance teams and various Investment Departments, addressing inquiries in a timely and professional manner.
- Collaborate with external legal counsel as necessary.
- Prepare and update procedural documentation for training, business continuity, and audit purposes.
- Engage in ad hoc assignments and contribute to special projects as required.
Qualifications
- Bachelor's degree or higher in Business Administration, Finance, Mathematics, Computer Science, or a related field.
- Relevant professional designations (e.g., CPA, CFA) or progress towards such designations are advantageous.
- Strong knowledge of investment products is beneficial.
- A minimum of 2 years of relevant professional experience is required.
- Proficiency in MS Excel is essential.
- Detail-oriented, organized, and a proven problem-solver, capable of working under pressure and managing multiple tasks in a fast-paced environment.
- Self-motivated and proactive, with the ability to take initiative.
- Ability to manage deadlines and the needs of various stakeholders effectively.
- Strong communication skills, both verbal and written.
- Skilled in reporting and analytics, with the ability to articulate the significance of findings.
- A collaborative team player with excellent interpersonal skills, adept at building business relationships.
- Experience with programming languages or database technologies (e.g., VBA, Python, SQL) is a plus.
- Familiarity with investment management systems (e.g., Bloomberg, Charles River) is advantageous.
- Knowledge of relevant laws and regulations in the investment industry is beneficial, including experience with compliance monitoring software.
- Embodies CPPIB's Guiding Principles of Partnership, Integrity, and High Performance.
Commitment to Inclusion and Diversity
CPP Investments is dedicated to building a diverse workforce and fostering an inclusive and accessible environment. We encourage individuals requiring accommodations during the recruitment process to inform us so that we can assist in meeting their needs.
-
Old Toronto, Ontario, Canada CPP Investments Full timeCompany OverviewMake a significant impact at a leading global investment organization.When you invest your career in CPP Investments, you become part of one of the most esteemed and rapidly expanding institutional investors worldwide. With assets under management exceeding $500 billion, CPP Investments is a professional investment management entity that...
-
Old Toronto, Ontario, Canada CPP Investments Full timeCompany OverviewMake a significant impact at a leading global investment organization.By investing your career with CPP Investments, you become part of one of the most esteemed and rapidly expanding institutional investors worldwide. With assets under management exceeding $500 billion, CPP Investments is a professional investment management entity that...
-
Old Toronto, Ontario, Canada CPP Investments Full timeCompany OverviewMake a significant impact at a leading global investment organization.By investing your career with CPP Investments, you become part of one of the most esteemed and rapidly expanding institutional investors worldwide. With assets under management exceeding $500 billion, CPP Investments is a professional investment management entity that...
-
Toronto, Ontario, Canada CPP Investments Full timeJob DescriptionReporting to the Manager, Compliance Monitoring – Public Markets Compliance, the Associate will play a pivotal role in supporting investment activity by CPP Investments and its portfolio companies through the identification of potential sources of perceived conflicts of interest and the management of restricted lists and information barriers...
-
Toronto, Ontario, Canada CPP Investments Full timeJob DescriptionReporting to the Manager, Compliance Monitoring – Public Markets Compliance, the Associate will play a pivotal role in supporting investment activity by CPP Investments and its portfolio companies through the identification of potential sources of perceived conflicts of interest and the management of restricted lists and information barriers...
-
Toronto, Ontario, Canada CPP Investments Full timeJob SummaryWe are seeking a highly skilled Compliance Associate to join our Public Markets Compliance team at CPP Investments. As a key member of our team, you will play a pivotal role in supporting investment activity by identifying potential sources of perceived conflicts of interest and managing restricted lists and information barriers related to the...
-
Toronto, Ontario, Canada CPP Investments Full timeJob SummaryWe are seeking a highly skilled Compliance Associate to join our Public Markets Compliance team at CPP Investments. As a key member of our team, you will play a pivotal role in supporting investment activity by identifying potential sources of perceived conflicts of interest and managing restricted lists and information barriers related to the...
-
Analyst, Regulatory Compliance – Public Markets
1 month ago
Toronto, Ontario, Canada CPP Investments Full timeJob OverviewIn the role of Analyst/Senior Analyst, you will report directly to the Director of Compliance Monitoring for Public Markets. Your primary focus will be on facilitating and enhancing essential investment oversight functions that ensure adherence to the CPPIB Act, relevant regulations, and internal policies, alongside other significant legislative...
-
Compliance Monitoring Associate
1 week ago
Toronto, Ontario, Canada CPP Investments Full timeJob SummaryWe are seeking a highly skilled Compliance Monitoring Associate to join our team at CPP Investments. As a key member of our Compliance Monitoring team, you will play a critical role in supporting investment activity by identifying potential sources of perceived conflicts of interest and managing restricted lists and information barriers related to...
-
Compliance Monitoring Associate
1 week ago
Toronto, Ontario, Canada CPP Investments Full timeJob SummaryWe are seeking a highly skilled Compliance Monitoring Associate to join our team at CPP Investments. As a key member of our Compliance Monitoring team, you will play a critical role in supporting investment activity by identifying potential sources of perceived conflicts of interest and managing restricted lists and information barriers related to...
-
Compliance Monitoring Associate
7 days ago
Toronto, Ontario, Canada CPP Investments Full timeJob SummaryWe are seeking a highly skilled Compliance Monitoring Associate to join our team at CPP Investments. As a key member of our Compliance Monitoring team, you will play a critical role in supporting investment activity by identifying potential sources of perceived conflicts of interest and managing restricted lists and information barriers related to...
-
Compliance Monitoring Associate
7 days ago
Toronto, Ontario, Canada CPP Investments Full timeJob SummaryWe are seeking a highly skilled Compliance Monitoring Associate to join our team at CPP Investments. As a key member of our Compliance Monitoring team, you will play a critical role in supporting investment activity by identifying potential sources of perceived conflicts of interest and managing restricted lists and information barriers related to...
-
Senior Analyst, Regulatory Compliance Monitoring
1 month ago
Toronto, Ontario, Canada CPP Investments Full timeJob OverviewIn this role, reporting to the Director of Compliance Monitoring for Public Markets, the Compliance Monitoring Analyst/Senior Analyst is dedicated to enhancing and managing essential investment oversight functions that ensure adherence to the CPPIB Act, associated Regulations, and Policies, along with other relevant legislative and regulatory...
-
Investment Compliance Monitoring Specialist
1 month ago
Toronto, Ontario, Canada CPP Investments Full timeJob OverviewIn this role, reporting to the Director of Compliance Monitoring for Public Markets, the Compliance Monitoring Analyst/Senior Analyst is dedicated to enhancing and managing essential investment oversight functions that ensure adherence to the CPPIB Act, relevant regulations, and internal policies, as well as other applicable legislative and...
-
Compliance Analyst
1 month ago
Toronto, Ontario, Canada First National Full timePosition Overview: Compliance AnalystThe Compliance Analyst plays a crucial role in supporting regulatory adherence by conducting thorough compliance assessments and delivering meticulous compliance evaluations. This position is integral to fostering a robust culture of compliance and risk management within the organization.In this role, the Analyst will...
-
Investment Compliance Analyst
1 month ago
Toronto, Ontario, Canada CPP Investments Full timeCompany OverviewMake a significant impact at a leading global investment organization.At CPP Investments, you become part of one of the most esteemed and rapidly expanding institutional investors worldwide.With assets under management exceeding $500 billion, CPP Investments is a professional investment management entity that strategically invests the funds...
-
Compliance Analyst
1 month ago
Toronto, Ontario, Canada First National Full timePosition Overview: Compliance AnalystThe Compliance Analyst plays a crucial role in supporting regulatory adherence and ensuring the integrity of compliance processes. This position is focused on executing thorough compliance assessments, delivering precise compliance evaluations, and fostering a robust culture of compliance and risk management.In...
-
Regulatory Compliance Analyst
1 month ago
Toronto, Ontario, Canada Vanguard Full timeRegulatory Compliance Analyst, Vanguard CanadaAs a Regulatory Compliance Analyst at Vanguard Canada, you will spearhead and execute compliance initiatives to safeguard the organization's operational integrity and achieve strategic objectives. Your role will involve the formulation, execution, and upkeep of compliance protocols, alongside monitoring functions...
-
Compliance Analyst
1 month ago
Toronto, Ontario, Canada First National Full timePosition Overview: Compliance AnalystThe Compliance Analyst is responsible for supporting regulatory adherence through comprehensive reviews and delivering meticulous compliance assessments. This role plays a crucial part in fostering a robust culture of compliance and risk management within the organization.Key Responsibilities:Collaborate with various...
-
Public Health Data Analyst
2 weeks ago
Toronto, Ontario, Canada FPHNY Recruitment Team Full time $82,506 - $94,000Job Title: Public Health Data AnalystFPHNY Recruitment Team is seeking a highly skilled Public Health Data Analyst to join our team. As a key member of our Division of Disease Control, you will play a critical role in supporting our COVID-19 work in New York City.Job Summary:We are looking for a detail-oriented and analytical individual to work with our...
