Analyst, Investment & Trading Compliance

HOOPP (Healthcare of Ontario Pension Plan) is committed to equity, diversity, and inclusion in its work environment. The Analyst, Investment & Trading Compliance will be responsible for the development and maintenance of the Investment & Trading Compliance program, including monitoring and reporting controls, and supporting compliance with regulatory requirements.

Responsibilities

• Daily review and analysis of capital markets trading and investment activity to identify and escalate reportable regulatory compliance events in a timely manner
• Assist with compliance risk assessment reviews of private asset investments including private equity, private credit, investment funds, real estate and infrastructure
• Assist in the identification and remediation of any compliance process control gaps and improvement opportunities, and work with team members to build solutions
• Prepare written compliance control process documentation and maintain accurate books and records
• Design and implement technology solutions to automate compliance monitoring and reporting processes and generate meaningful metrics to assist compliance risk decision-making
• Actively participate in compliance projects and other change initiatives, as needed
• Monitor regulatory websites and other public information sources to capture and assist in incorporating relevant news and regulatory change events into the compliance program
• Understand business operations and processes throughout HOOPP and pro-actively build effective business relationships with a diverse set of individuals and teams
• Assist with the timely and thorough remediation of data management and software related issues to ensure compliance monitoring and reporting processes are functioning as intended
• Pro-actively and creatively contribute to the ongoing development of the compliance program control environment

Skills

• Completed a college or university program with a focus on compliance, law, commerce, finance or accounting
• High proficiency in the use of technology platforms including Microsoft Office Suite (specifically MS Excel and MS Power BI), programming/coding skills, and working knowledge of data management is required
• Ability to multi-task and prioritize conflicting priorities, strong organizational and time management skills to meet tight deadlines
• Strong attention to detail, accuracy, and completeness
• Excellent interpersonal skills to facilitate interaction with senior management and others working in a high-pressure and time sensitive environment
• Share HOOPP's core values: Accountability, Compassion, and Trustworthiness
• Proficiency in the use of generative artificial intelligence (AI) and Bloomberg AIM considered an asset
• Completion of the Canadian Securities Course, or working toward a Chartered Financial Analyst Level II or III or similar course/designation considered an asset
• Previous work experience with a pension plan, asset management firm or regulatory environment considered an asset
• Knowledge of and/or experience with Regulatory Compliance Management frameworks would be an asset

Benefits

• Membership in HOOPP’s world class defined benefit pension plan, which can serve as an important part of your retirement security
• Competitive, 100% company-paid extended health and dental benefits for permanent employees, including coverage supporting our team's diversity and mental health (e.g., gender affirmation, fertility and drug treatment, psychological support benefits of $2,500 per year, parental leave top-up, and a health spending account)
• Optional post-retirement health and dental benefits subsidized at 50%
• Yoga classes, meditation workshops, nutritional consultations, and wellness seminars

Company Overview