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. 

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' pre-trade 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.
• Role-specific responsibilities:
  • Conduct post-trade compliance checks with accuracy, completeness and agility.
  • Support the end-to-end 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 cross-functional 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 cross-training 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.

• 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.

• Role-specific 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, detail-oriented, organized and a proven problem-solver.  Able to work under pressure and capable of multitasking in fast-paced settings.
  • Proactive self-starter, comfortable taking initiative.
  • Team player with excellent interpersonal and relationship-building skills.
  • Deadline-driven, able to balance multiple stakeholder needs.
  • Effective communicator, both written and verbal.
  • Skilled in reporting and analytics, providing insight beyond the numbers.
  • Embodies CPPIB’s Purpose and Guiding Principles of Partnership, Integrity and High Performance.

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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.