Associate/team Lead, Compliance Monitoring - Toronto, Canada - CPP Investments

CPP Investments

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

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Description

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 fastpaced, 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 Manager, Compliance Monitoring - Enterprise Reporting & Controls, the Associate/Team Lead will provide execution leadership/oversight for the preparation of routine and ad hoc compliance checks/tests and reports on a timely, complete, and accurate basis; adapting with agility to deliver high performance results.

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 as well as collaborate effectively with other internal teams/departments toward this end.

Role-Specific Accountabilities:

Execution Leadership

Independent leadership/oversight of daytoday pre

- and post-trade compliance operations within the team including, but not limited to, current state Restricted List, Substantial Shareholding Disclosure and Short Position Notification processes.

Prompt and agile response to any stakeholder, regulator, and auditor queries as they arise.
Promote robust data control around reliedupon information in order to maintain the integrity of processes in place to support compliance monitoring and reporting.
Draft written contributions to crossfunctional investment implementation documents as well as procedural/desktop/working file documentation for business continuity/training/audit purposes.
Manage small initiatives and projects endtoend, integrating stakeholder needs, adapting to changes and resolving issues as they arise. Represent Compliance Monitoring by contributing to crossfunctional projects, as required.

Thought Leadership

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 markets, products and/or programs as well as new external portfolio manager mandates.
In collaboration with the Compliance team within Legal (and external counsel as applicable), research, design and implement 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 & Data understands 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.

People Leadership