Associate, Compliance Monitoring – Public Markets Compliance

2 weeks ago

Toronto, Ontario, Canada CPP Investments Full time
Job Description

Reporting 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 related to the controlled handling of Material Non-Public Information ("MNPI") for purposes of adherence with associated internal frameworks and external regulatory requirements.

Key Responsibilities:

  • Deliberate Execution:
    • Drive excellence in the management of the end-to-end Restricted List life cycle, including 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 and 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.
    • Collaborate 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 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/downstream effects, promote innovative continuous improvement in pursuit of lean and innovative solutions by actively identifying opportunities for efficiency and scalability and collaborating with technical resources within the team to ensure technology professionals understand our business needs.
    • In support of the team's regular internal management reporting, prepare root cause analyses following any operational incidents or "close calls" and recommend control/process enhancements to mitigate, if not eliminate, the risk of recurrence.
  • Constructive Engagement & Enterprise Focus:
    • Boost functional excellence within the team by training, mentoring, and coaching junior team members.
    • Coordinate the review and update of desktop procedures and other documentation of key controls and processes within the team.
    • Support the Manager role in regard to general business management/administration, as required (e.g., performance evaluation, operational risk control, etc).
    • Maintain and strengthen relationships with external partners, portfolio managers, vendors, and auditors.
    • Help improve visibility of the Compliance Monitoring team within the group, department, and broader organization by generating/coordinating timely and insightful metrics and publishing "good news" stories about value-added work to key stakeholders in various communication forms and forums.
    • Leverage our collective knowledge and act inclusively and collaboratively with all colleagues, sharing and challenging ideas to foster effective decisions.

Requirements:

  • Undergraduate degree or above in Business Administration/Management or Commerce with concentration in Accounting, Finance, or another related field.
  • Relevant professional designation (CPA, CFA, etc) or progress toward one is an asset.
  • Minimum 5 years of professional experience in Financial Services or Investment Management.
  • Strong investment product knowledge is essential.
  • Advanced knowledge of MS Excel is a must.
  • Experience in investment compliance is an advantage; valued in particular is previous experience in managing restricted lists and related information barriers in a control room environment.
  • Experience with the compliance modules for one or more investment management systems (Bloomberg, etc) is an asset.
  • Experience in one or more programming languages/database technologies (VBA, Python, SQL, etc) is also an asset.
  • Knowledge of laws/regulations pertinent to the investment industry is a plus (e.g., insider trading, best practices related to MNPI, etc).

Personal Competencies:

  • Committed to standard work within a robust control environment with a view toward continuous improvement and building scale.
  • Exceptional time management and prioritization skills; deadline-oriented and able to manage the needs of multiple stakeholders.
  • 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.
  • Team player with strong interpersonal skills and adept at fostering business relationships.
  • Able to convince others to achieve desired outcomes through influence/inspiration.
  • Able to communicate effectively, both orally and in writing. Capable of distilling complex information for decision-making purposes (i.e., logically, factually, and persuasively).
  • Skilled in reporting, including business metrics and value-added analytics (e.g., adept at explaining the "why?" and "so what?").
  • Exemplifies CPP Investments' Purpose and Guiding Principles of Partnership, Integrity, and High Performance.

  • Associate, Compliance Monitoring – Public Markets Compliance

    3 days ago

    Toronto, Ontario, Canada CPP Investments Full time

    Job 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...

  • Associate, Compliance Monitoring – Public Markets Compliance

    2 days ago

    Toronto, Ontario, Canada CPP Investments Full time

    Job 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...

  • Compliance Monitoring Associate

    1 week ago

    Toronto, Ontario, Canada CPP Investments Full time

    Job 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 time

    Job 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 time

    Job 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 time

    Job 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 Analyst – Public Markets

    1 month ago

    Toronto, Ontario, Canada CPP Investments Full time

    Position OverviewReporting 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,...

  • Trade Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job SummaryWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our organization, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Serve as the subject matter expert in Trade Compliance, providing guidance and support to...

  • Trade Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job SummaryWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our organization, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Serve as the subject matter expert in Trade Compliance, providing guidance and support to...

  • Trade Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job SummaryWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our organization, you will be responsible for ensuring compliance with trade regulations and laws.Key ResponsibilitiesServe as the subject matter expert in Trade Compliance, providing guidance and support to the...

  • Trade Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job SummaryWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our organization, you will be responsible for ensuring compliance with trade regulations and laws.Key ResponsibilitiesServe as the subject matter expert in Trade Compliance, providing guidance and support to the...

  • Trade Compliance Expert

    1 week ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert trade compliance advice and guidance to our clients, ensuring compliance with all relevant regulations and...

  • Trade Compliance Expert

    1 week ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions.Job Summary:The successful candidate will be responsible for providing expert trade compliance advice and guidance to our clients, ensuring compliance with all relevant regulations and...

  • Compliance Monitoring Analyst/Senior Analyst – Public Markets

    1 month ago

    Old Toronto, Ontario, Canada CPP Investments Full time

    Company 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...

  • Compliance Monitoring Analyst/Senior Analyst – Public Markets

    1 month ago

    Old Toronto, Ontario, Canada CPP Investments Full time

    Company 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...

  • Crossborder Trade Compliance Specialist

    1 day ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs to ensure...

  • Crossborder Trade Compliance Specialist

    1 day ago

    Toronto, Ontario, Canada Trade Compliance Recruiting Solutions Full time

    Job Title: Crossborder Trade Compliance SpecialistWe are seeking a highly skilled Trade Compliance Specialist to join our team at Trade Compliance Recruiting Solutions. As a key member of our team, you will be responsible for ensuring compliance with trade regulations and laws.Key Responsibilities:Develop and implement trade compliance programs to ensure...

  • Compliance Associate

    3 weeks ago

    Toronto, Ontario, Canada BMO Full time

    Compliance Officer Role BMO Capital Market Compliance is seeking a candidate for a Compliance Officer Role in its Control Room. This vacancy represents an exciting opportunity for someone eager to learn and enter the field of Compliance or for Control Room professionals wishing to expand the scope of their knowledge and experience in the North American...

  • Compliance Monitoring Analyst/Senior Analyst – Public Markets

    1 month ago

    Old Toronto, Ontario, Canada CPP Investments Full time

    Company 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...

  • Senior Analyst, Regulatory Compliance Monitoring

    1 month ago

    Toronto, Ontario, Canada CPP Investments Full time

    Job 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...