Associate Compliance Monitoring 14-month contract

As an Associate 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 compliance monitoring and 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 and procedures to reflect internal and regulatory requirements.
• Help organize Compliance training.
• Support the functional management of CPP Investments Compliance Management System (CMS) including administration of the CMS technology platform. 
• 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 Investmentscompliance infrastructure.
• Rolespecific responsibilities:
  • Oversee and enhance posttrade compliance checks ensuring accuracy completeness and efficiency while refining processes.
  • Lead and optimize the endtoend investment life cycle providing strategic oversight on feasibility assessments control design user testing and offboarding.
  • Develop and refine investment implementation frameworks ensuring documentation and procedures support training audits and business continuity.
  • Establish and enforce data integrity standards strengthening controls over monitoring processes and driving continuous improvement.
  • Act as a key liaison for stakeholders regulators and auditors ensuring timely strategic and wellinformed responses.
  • Drive and oversee strategic initiatives and projects leveraging technology and crossfunctional collaboration to boost team impact.
  • Identify systemic process gaps and implement enterpriselevel solutions mitigating risk and strengthening control frameworks.
  • Provide guidance on compliance operations advising leadership on impacts from new investment products and activities.
  • Design and oversee trade surveillance strategies proactively identifying and addressing potential market manipulation risks.
  • Champion continuous improvement driving efficiency scalability and alignment between business needs and technology solutions.
  • Lead root cause analyses for operational incidents implementing control enhancements to prevent recurrence and improve resilience.
  • Foster a culture of functional excellence mentoring and crosstraining colleagues to strengthen team capacity.
  • Cultivate and expand strategic relationships with external partners including portfolio managers vendors and consultants.
  • Enhance team visibility and influence delivering impactful metrics and communicating valueadded contributions and success stories inside and outside the team.
  • Advise leaders on business management and administration ensuring operational effectiveness and risk mitigation.
  • Promote a culture of collaboration and knowledgesharing challenging ideas constructively to drive informed decisionmaking.

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.  
• 5 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.
  • Skilled in programming and database management (VBA Python SQL).
  • Experienced with compliance tooling (e.g. Aosphere FundApps Bloomberg CMGR etc).
  • Knowledgeable about investment regulations (shareholding disclosure exchange limits).
  • Champions process excellence and scalability.
  • Strategic problemsolver with a keen eye for detail excelling under pressure and navigating complex fastpaced environments.
  • Proactive leader who takes initiative identifying opportunities for innovation and continuous improvement.
  • Influential team player and relationship builder balancing stakeholder needs while ensuring timely .
  • Persuasive and articulate communicator adept at conveying complex ideas to diverse audiences.
  • Expert in reporting and analytics translating data into actionable insights that drive business decisions.
  • Exemplifies 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