Senior Analyst, Compliance Monitoring – Public Markets Compliance (Contract)

Company Description

Make an impact at a global and dynamic investment organization

When you join CPP Investments, you are joining one of the world’s most admired and respected institutional investors. With more than $600 billion in assets under management, CPP Investments is a professional investment management organization that globally invests the funds of the Canada Pension Plan (CPP) to help ensure it is financially sustainable for generations of working and retired Canadians.

CPP Investments invests across regions and asset classes to build a globally diversified portfolio. It holds assets in public equity, private equity, real estate, infrastructure, and fixed income, and the CPP Fund is projected to reach $3 trillion in assets by 2050. The organization is headquartered in Toronto with offices in Hong Kong, London, Mumbai, New York City, San Francisco, São Paulo, and Sydney.

CPP Investments successfully attracts, selects, and retains talented individuals from top-tier institutions worldwide. Join our team for access to:

• Stimulating work in a fast-paced and intellectually challenging environment
• Accelerated exposure and responsibility
• Global career development opportunities
• Diverse and inspiring colleagues and approachable leaders
• A hybrid-flexible work environment with an emphasis on in-person collaboration
• A culture rooted in principles of integrity, partnership, and high performance
• An organization with an important social purpose that positively impacts lives

If you have a passion for performance, value a collegial and collaborative culture, and approach work with the highest integrity, invest your career here. 

Job Description

Reporting to the Associate, Compliance Monitoring – Public Markets Compliance, the 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 conducting 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. Accordingly, this role will turn requirements into action and work closely with other functions within the immediate Compliance Monitoring team to achieve planned objectives, collaborating effectively with other internal teams/departments toward this end.

Role-Specific Accountabilities:

Deliberate Execution

• Prepare routine and ad hoc post-trade compliance checks/tests (e.g., evaluation of holdings against exchange limits/regulatory disclosure thresholds, review of transactions against various watchlists, etc.) and reports on a timely, complete and accurate basis; adapting with agility to deliver high performance results.
• Drive excellence in support of the end-to-end investment life cycle including, but not limited to, impact/feasibility assessment for new products/activities, internal control design/enhancement, user acceptance testing, and, in the case of external portfolio manager mandates, redemption/offboarding.
• Draft written contributions to cross-functional investment implementation documents as well as procedural/desktop/working file documentation for training/audit/business continuity purposes.
• Demonstrate an owner’s mindset by promoting robust data control around relied-upon information in order to maintain the integrity of processes in place in support of compliance monitoring and reporting.
• Collaborating with external counsel and internal partners as required, provide prompt and agile response to any stakeholder, regulator, and auditor queries as they arise.
• Leverage both technology and pragmatism in the support 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 Director 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 scalable 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 cross-training others.
• Routinely review and update desktop procedures and other documentation of key controls and processes within the team.

• Support the Director role in regard to general business management/administration, as required (e.g. internal audits, operational risk control, etc).
• Maintain and strengthen relationships with external partners, portfolio managers, vendors and consultants.

• Help improve visibility of the immediate 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.

• Support the broader Compliance group as well as the various Investment Departments, responding to spontaneous enquiries in a prompt and professional manner.

• Leverage our collective knowledge and act inclusively and collaboratively with all colleagues, sharing and challenging ideas to foster effective decisions.

Qualifications

Education & Professional Certifications

• Undergraduate degree/college diploma or above, especially in Business Administration/Management, Commerce/Finance, Computer Science, or another related field.
• Relevant professional designation (CPA, CFA, etc) or progress toward one is an asset.

Professional Experience

• Minimum 3 years of applicable professional experience.
• Advanced knowledge of MS Excel is a must.
• Strong product knowledge and experience onboarding investments (including support for net new security types) is an advantage.
• Practical experience in one or more programming languages/database technologies (VBA, Python, SQL, etc) is an asset.
• Experience with Aosphere Rulefinder and/or FundApps shareholding disclosure software is an asset as is the compliance modules for one or more investment management systems (Bloomberg, etc).
• Knowledge of laws/regulations pertinent to the investment industry is a plus (e.g., shareholding disclosure rules and exchange position limits; also valued is experience managing restricted lists).

Personal Competencies

• Committed to producing standard work within a robust control environment with a natural inclination toward continuous improvement and building scale.
• 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.
• Deadline-oriented, able to manage the needs of multiple stakeholders.
• Able to communicate effectively, both orally and in writing.
• Skilled in reporting, including business metrics and value-added analytics (e.g. adept at explaining the “why?” and “so what?”).
• Exemplifies CPPIB’s 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, 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.