Senior Analyst Compliance Monitoring Public Markets Compliance Contract

As a Sr Analyst Compliance you will lead work associated with the management and delivery of CPP Investments Compliance programs including quarterly compliance activities training the Compliance Management System the Personal Trading System and securities reporting or other compliance related functions as assigned.

Team Description

The Compliance Monitoring team plays a key role in managing and advancing critical investment oversight activities to ensure conformity with the CPPIB Act Regulations and Policies as well as other relevant legislative and regulatory obligations.  Beyond conducting routine and ad hoc compliance checks and ensuring timely accurate reporting the team is continuously improving existing monitoring procedures and developing and implementing new processes controls and disclosures to operationalize compliance requirements as they unfold.  As a result the Compliance Monitoring team turns requirements into action and works closely with other functions within the Compliance group to achieve strategic objectives collaborating effectively with other departments toward this end.

Accountabilities

• Support CPP Investments Compliance programs and related systems platforms and processes including annual and quarterly compliance cycles.
• Serve as an internal contact for complex Compliance inquiries and questions.
• Draft review update and ensure accessibility of compliance policies activities and procedures to reflect internal and regulatory requirements including those in support of investing activities.
• Help organize Compliance training.
• Support the functional management of CPP Investments Compliance Management System (CMS) including administration of the CMS technology platform or Bloomberg Compliance Manager.
• Lead the administration of the Personal Trading Program including general inquiries and support training related to CPP Investments pretrade compliance system.
• Execute and prepare compliance reports summarize findings and provide data analysis and commentary.
• Participate in the continued enhancement of the controls environment and processes to enhance CPP Investments compliance infrastructure.
• Rolespecific responsibilities:
  • Conduct posttrade compliance checks with accuracy completeness and agility.
  • Support the endtoend investment life cycle including through feasibility assessments control design user testing and offboarding.
  • Draft documentation for investment implementations and maintain desktop procedures for training audits and business continuity.
  • Ensure data integrity by maintaining robust controls over monitoring processes.
  • Respond promptly to any queries from stakeholders regulators and auditors as they arise.
  • Support small initiatives and projects leveraging technology and adaptability while representing the team in crossfunctional efforts.
  • Proactively identify process gaps and engineer corrective actions to resolve vulnerabilities and mitigate risk.
  • Advise leaders on obligations related to new investment products and activities.
  • Detect and escalate potential market manipulation through trade surveillance.
  • Drive continuous improvement by seizing opportunities to add efficiency and scalability ensuring technical resources understand business needs.
  • Conduct root cause analyses of any operational incidents and recommend control enhancements to prevent recurrence.
  • Retain/Improve functional excellence by crosstraining colleagues.
  • Maintain and strengthen relationships with external partners including portfolio managers vendors and consultants.
  • Increase team visibility by providing insightful metrics and sharing success stories.
  • Support leaders with general business management and administration.
  • Leverage collective knowledge and act inclusively and collaboratively with all colleagues sharing and challenging ideas to foster effective decisions.

Qualifications :

• Undergraduate degree or college diploma in related field (Business Computer Science etc).
• Relevant professional designation (CPA CFA etc) or progress toward one is an asset.
• 4 years of relevant experience.
• Proficiency with MS Office Programs (Word Excel Outlook PowerPoint Teams).
• Experience overseeing administering executing and managing business processes and the use of a workflow system.
• Thorough knowledge and understanding of the Investment industry including relevant regulatory and compliance best practices.
• Technological savvy with demonstrated expertise in the utilization of data data analytics and related technology.

• Rolespecific competencies:
  • Strong product knowledge and experience onboarding investments is an advantage.
  • Skills programming and/or working with databases (VBA Python SQL) is beneficial.
  • Experience with compliance tools (Aosphere FundApps Bloomberg CMGR etc) is valued.
  • Familiarity with investment regulations (shareholding disclosure exchange limits) is a plus.
  • Committed to process excellence and building scale.
  • Tenacious detailoriented organized and a proven problemsolver.  Able to work under pressure and capable of multitasking in fastpaced settings.
  • Proactive selfstarter comfortable taking initiative.
  • Team player with excellent interpersonal and relationshipbuilding skills.
  • Deadlinedriven able to balance multiple stakeholder needs.
  • Effective communicator both written and verbal.
  • Skilled in reporting and analytics providing insight beyond the numbers.
  • Embodies CPPIBs Purpose and Guiding Principles of Partnership Integrity and High Performance.

Additional Information :

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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.

Our Commitment to Inclusion and Diversity:

In addition to being dedicated to building a workforce that reflects diverse talent we are committed to fostering an inclusive and accessible experience. If you require an accommodation for any part of the recruitment process (including alternate formats of materials accessible meeting rooms etc. please let us know and we will work with you to meet your needs.

Disclaimer:

CPP Investments does not accept resumes from employment placement agencies headhunters or recruitment suppliers that are not in a formal contractual arrangement with us. Our recruitment supplier arrangements are restricted to specific hiring needs and do not include this or other website job postings. Any resume or other information received from a supplier not approved by CPP Investments to provide resumes to this posting or website will be considered unsolicited and will not be considered.  CPP Investments will not pay any referral placement or other fee for the supply of such unsolicited resumes or information.

Remote Work :

No