Compliance Monitoring Analyst

3 weeks ago

Toronto, Ontario, Canada CPP Investments Full time
Job Title: Compliance Monitoring Analyst

Reporting to the Director, Compliance Monitoring – Public Markets Compliance, the Compliance Monitoring Analyst is focused on supporting the management and advancement of critical investment oversight activities necessary to promote conformity with the CPPIB Act, Regulations and Policies as well as other pertinent legislative/regulatory obligations outside the firm.

Key Responsibilities:
  • Conduct independent compliance monitoring and prepare corresponding analyses/reporting/regulatory disclosures, as required.
  • Research, design and implement new controls/processes and/or refinements to existing compliance checks/tests to support the firm's dynamic investment activities as well as changing legislative/regulatory requirements.
  • Develop and maintain compliance rules within order/execution management systems, investigating any and all pre- and/or post-trade flags triggered.
  • 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.
  • Support the broader Legal & Compliance groups as well as the various Investment Departments, responding to spontaneous enquiries in a prompt and professional manner.
  • Collaborate with external counsel, as required.
  • Prepare/Update procedural documentation for business continuity/training/audit purposes.
  • Perform ad hoc assignments and contribute to special projects, as required.
Requirements:
  • Undergraduate degree/college diploma or above, especially in Business Administration/Management, Commerce/Finance, Mathematics, Computer Science, or other related field.
  • Relevant professional designation (CPA, CFA, etc) or progress toward one is an asset.
  • Strong investment product knowledge is an asset.
  • Minimum 2 years of applicable professional experience.
  • Advanced knowledge of MS Excel.
  • Tenacious, detail-oriented, organized, and a proven problem-solver. Able to work under pressure and capable of multi-tasking in fast-paced settings.
  • Proactive self-starter, comfortable taking initiative.
  • Deadline-oriented, able to manage the needs of multiple stakeholders.
  • Able to communicate effectively, both orally and in writing.
  • Skilled in reporting and value-added analytics.
  • Team player with strong interpersonal skills and adept at fostering business relationships.
  • Experience in one or more programming languages/database technologies is an asset.
  • Experience with one or more investment management systems is an asset.
  • Knowledge of laws/regulations pertinent to the investment industry is an asset.

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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