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Senior Analyst, Regulatory Compliance Monitoring

3 months ago

Toronto, Ontario, Canada CPP Investments Full time
Job Overview

In 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 obligations. The focus is on executing routine and, at times, ad hoc compliance assessments and generating reports in a timely and precise manner. This position also plays a vital role in refining existing monitoring protocols and developing new processes, controls, and reports to align with evolving compliance needs.

Key Responsibilities

  • Conduct independent compliance evaluations, such as assessing holdings against regulatory limits and reviewing transactions against established watchlists, while preparing necessary analyses and regulatory disclosures.
  • Research and implement innovative controls and processes, enhancing existing compliance assessments to accommodate the firm’s dynamic investment strategies and changing regulatory landscape.
  • Develop and maintain compliance parameters within order and execution management systems, addressing any pre- or post-trade alerts that arise.
  • Utilize analytical skills to identify potential deficiencies in current processes; design and implement corrective measures to mitigate these risks and prevent future occurrences.
  • Encourage continuous improvement initiatives by identifying opportunities for efficiency and scalability, collaborating with technical teams to meet business requirements.
  • Provide support to the broader Legal & Compliance teams and various Investment Departments, addressing inquiries in a timely and professional manner.
  • Engage with external legal counsel as necessary.
  • Prepare and update procedural documentation for training, business continuity, and audit purposes.
  • Participate in special projects and perform ad hoc assignments as required.

Qualifications

  • Bachelor’s degree or higher in Business Administration, Finance, Mathematics, Computer Science, or a related field.
  • Professional designation (CPA, CFA, etc.) or progress towards one is advantageous.
  • Strong knowledge of investment products is beneficial.
  • A minimum of 2 years of relevant professional experience.
  • Proficient in MS Excel.
  • Detail-oriented, organized, and a proven problem-solver, capable of managing multiple tasks in a fast-paced environment.
  • Self-motivated and proactive, with a strong initiative.
  • Ability to meet deadlines while managing the needs of various stakeholders.
  • Effective communication skills, both verbal and written.
  • Experience in reporting and analytics, with the ability to explain insights clearly.
  • Team-oriented with strong interpersonal skills, capable of building business relationships.
  • Familiarity with programming languages or database technologies (VBA, Python, SQL, etc.) is a plus.
  • Experience with investment management systems (Bloomberg, Charles River, etc.) is an asset.
  • Knowledge of relevant laws and regulations in the investment sector is beneficial.
  • Embodies CPPIB's principles of Partnership, Integrity, and High Performance.

Additional Information

CPP Investments is committed to diversity and equitable access to employment opportunities based on ability. We appreciate all applicants for their interest, but only those selected for further consideration will be contacted.

Our Commitment to Inclusion and Diversity:

We are dedicated to building a workforce that reflects diverse talent and fostering an inclusive and accessible experience. If you require accommodations during the recruitment process, please inform us, and we will work to meet your needs.

Disclaimer:

CPP Investments does not accept resumes from employment placement agencies or recruitment suppliers that are not in a formal contractual arrangement with us. Any unsolicited resumes or information will not be considered.