Compliance Monitoring Associate
1 week ago
We 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 the controlled handling of Material Non-Public Information (MNPI).
Key Responsibilities- Deliver Excellence in Compliance Monitoring: Drive the management of the end-to-end Restricted List life cycle, including commercial conflict clearance, implementation of restrictions, and safe dismantlement thereof.
- Support Firm-Wide Training: Conduct training on commercial conflict checks and related Restricted List processes on a recurring and ad hoc basis.
- Ensure Compliance with Regulatory Requirements: Prepare and oversee routine and ad hoc post-trade compliance checks/tests and reports on a timely, complete, and accurate basis.
- Collaborate with Stakeholders: Provide prompt and agile responses to stakeholder, regulator, and auditor queries as they arise.
- Promote Data Control and Integrity: Demonstrate an owner's mindset by promoting robust data control around relied-upon information to maintain the integrity of processes in place in support of compliance monitoring and reporting.
- Contribute to Cross-Functional Projects: Leverage 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.
- Education and Professional Certifications: Undergraduate degree or above in Business Administration/Management or Commerce with concentration in Accounting, Finance, or another related field.
- Professional Experience: Minimum 5 years of professional experience in Financial Services or Investment Management.
- Advanced Knowledge and Skills: Strong investment product knowledge, advanced knowledge of MS Excel, and experience in investment compliance, particularly in managing restricted lists and related information barriers in a control room environment.
- Commitment to Standard Work: Committed to standard work within a robust control environment with a view toward continuous improvement and building scale.
- Exceptional Time Management and Prioritization Skills: Exceptional time management and prioritization skills, deadline-oriented, and able to manage the needs of multiple stakeholders.
- Proactive Self-Starter: Proactive self-starter, comfortable taking initiative, and able to convince others to achieve desired outcomes through influence/inspiration.
At CPP Investments, we are committed to diversity and equitable access to employment opportunities based on ability.
We thank all applicants for their interest but will only contact candidates selected to advance in the hiring process.
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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...
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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...
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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...
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Compliance Monitoring Associate
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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...
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