Analyst/Senior Analyst, Compliance Monitoring – Public Markets Compliance (18-month contract)

Company Description

Make an impact at a global and dynamic investment organization

When you invest your career in CPP Investments, you join one of the most respected and fastest growing institutional investors in the world. With current assets under management valued in excess of $500 billion, CPP Investments is a professional investment management organization that globally invests the funds of the Canada Pension Plan (CPP) to help ensure long-term sustainability. The CPP Fund is projected to reach $3 trillion by 2050. CPP Investments invests in all major asset classes, including public equity, private equity, real estate, infrastructure and fixed-income instruments, and is headquartered in Toronto with offices in Hong Kong, London, Luxembourg, Mumbai, New York City, San Francisco, São Paulo and Sydney. 

CPP Investments attracts and selects high-calibre individuals from top-tier institutions around the globe. Join our team and look forward to:

• Diverse and inspiring colleagues and approachable leaders
• Stimulating work in a fast-paced, intellectually challenging environment
• Accelerated exposure and responsibility
• Global career development opportunities
• Being motivated every day by CPP Investments’ important social purpose and unshakable principles
• A flexible/hybrid work environment combining in office collaboration and remote working
• A deeply rooted culture of Integrity, Partnership and High Performance

If you share a passion for performance, value a collegial and collaborative culture, and approach everything with the highest integrity, here’s an opportunity for you to invest your career at CPP Investments.

Job Description

Reporting to the Director, Compliance Monitoring – Public Markets Compliance, the Analyst/Senior 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. Accordingly, the role concentrates on the preparation of routine (and, occasionally, ad hoc) compliance checks/tests and reports on a timely and accurate basis. This position also assists in evolving existing monitoring procedures as well as the development and implementation of new processes, controls and reports to support unfolding compliance requirements.

Role-Specific Accountabilities

• Conduct/Support independent compliance monitoring (e.g. evaluation of holdings against exchange limits/regulatory disclosure thresholds, review of transactions against various watchlists, etc) and prepare/support 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 (Bloomberg Compliance Manager or equivalent), 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.
• With consideration of upstream/downstream effects, promote innovative continuous improvement in pursuit of lean and scalable solutions by actively identifying opportunities for efficiency and scalability and collaborating with technical resources within the team as well as Technology & Data to ensure business needs are met.
• 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 (e.g. User Acceptance Testing, etc), as required.

Qualifications

• 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 (e.g. adept at explaining the “why?” and “so what?”).
• Team player with strong interpersonal skills and adept at fostering business relationships.
• Experience in one or more programming languages/database technologies (VBA, Python, SQL, etc) is an asset.
• Experience with one or more investment management systems (Bloomberg, Charles River, etc) is an asset.
• Knowledge of laws/regulations pertinent to the investment industry is an asset (e.g. shareholding disclosure, etc). Experience with Aosphere Rulefinder and/or FundApps regulatory compliance monitoring software is also considered an asset.
• Exemplifies CPPIB’s Guiding Principles of Partnership, Integrity and High Performance.

Additional Information

Visit our LinkedIn Career Page or Follow us on LinkedIn. #LI-PM1 #LI-Onsite 

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, head-hunters 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 web-site job postings. Any resume or other information received from a supplier not approved by CPP Investments to provide resumes to this posting or web-site 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.