Associate, Compliance Monitoring – Public Markets Compliance

Job Description

Reporting to the Manager, Compliance Monitoring Public Markets Compliance, the Associate will play a pivotal role in supporting investment activity by CPPIB and its portfolio companies though the identification of potential sources of perceived conflicts of interest and the management of restricted lists and information barriers related to the controlled handling of Material Non-Public Information ( MNPI ) for purposes of adherence with associated internal frameworks and external regulatory requirements.

The position will also assist in evolving compliance monitoring procedures in support of the management and advancement of critical investment surveillance activities necessary to promote conformity with the CPPIB Act, Regulations and Policies as well as other pertinent legislative / regulatory obligations outside the firm.

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

• Drive excellence in the management of the end-to-end Restricted List life cycle including, but not limited to, commercial conflict clearance, implementation of restrictions and safe dismantlement thereof.
• Support and conduct firm-wide training on the commercial conflict check and related Restricted List processes on both a recurring and ad hoc basis.
• Prepare / Oversee routine and ad hoc post-trade compliance checks / tests and reports on a timely, complete and accurate basis;

adapting with agility to deliver high performance results.

• Collaborating with external counsel and internal partners as required, provide prompt and agile response to any stakeholder, regulator, and auditor queries as they arise.
• 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.
• Draft written contributions to cross-functional investment implementation documents as well as procedural / desktop / working file documentation for business continuity / training / audit purposes.
• Leverage both technology and pragmatism in the management 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 Manager 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 innovative 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 training, mentoring and coaching junior team members.
• Coordinate the review and update of desktop procedures and other documentation of key controls and processes within the team.
• Support the Manager role in regard to general business management / administration, as required (e.g. performance evaluation, operational risk control, etc).
• Maintain and strengthen relationships with external partners, portfolio managers, vendors and auditors.
• Help improve visibility of the 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 to key stakeholders in various communication forms and forums.
• 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 or above in Business Administration / Management or Commerce with concentration in Accounting, Finance, or another related field.
• Relevant professional designation (CPA, CFA, etc) or progress toward one is an asset.

Professional Experience

• Minimum 5 years of professional experience in Financial Services or Investment Management.
• Strong investment product knowledge is essential.
• Advanced knowledge of MS Excel is a must.
• Experience in investment compliance is an advantage; valued in particular is previous experience in managing restricted lists and related information barriers in a control room environment.
• Experience with the compliance modules for one or more investment management systems (Bloomberg, etc) is an asset.
• Experience in one or more programming languages / database technologies (VBA, Python, SQL, etc) is also an asset.
• Knowledge of laws / regulations pertinent to the investment industry is a plus (e.g., insider trading, best practices related to MNPI, etc).

Personal Competencies

• Committed to standard work within a robust control environment with a view toward continuous improvement and building scale.
• Exceptional time management and prioritization skills; deadline-oriented and able to manage the needs of multiple stakeholders.
• 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.
• Able to convince others to achieve desired outcomes through influence / inspiration.
• Able to communicate effectively, both orally and in writing. Capable of distilling complex information for decision-making purposes (i.

e., logically, factually and persuasively).

• 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.