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Manager, Investments Compliance

Ontario Teachers' Pension Plan Board

This is a Contract position in Toronto, ON posted December 24, 2020.

Manager, Investments ComplianceThe opportunity

The Compliance Department’s vision is to be a trusted partner and advisor to help Teachers’ business divisions effectively balance risk, regulatory compliance, and related best practices in accordance with Ontario Teachers’ risk tolerance and to help build a sustainable culture of compliance.

The Manager supports the six key functions of the Compliance Operating Model: i) Advisory, ii) Policies and Procedures, iii) Education and Training, iv) Monitoring and Surveillance, v) Compliance Risk Management, vi) Compliance Reporting to Senior Management and the Board.

Who you’ll work with

You will work closely with internal and external partners at all levels in the organization. This includes, Corporate Affairs, Compliance, Investments, as well as liaise with public pension peers ensuring standard methodologies are followed.

What you’ll do

  • Act as compliance subject matter specialist and point of contact for Ontario Teachers’ divisions for all Investments Compliance policies, partnering with all divisions to identify practical and appropriate solutions

  • Lead analysis, preparation, and/or review of daily regulatory packages, raising issues to relevant parties where required, ensuring accuracy and timeliness, and bringing issues to resolution

  • Prepare and/or review all external regulatory filings (e.g. SEC, OSC, CFTC, ESMA, CSRC, Natural Resources Canada, Lobbying Acts, etc.)

  • Lead updating and amending policies and procedures in consideration of regulatory developments, self-assessments, and/or internal audit recommendations

  • Research and identify, interpret and operationalize new and proposed external rules and regulations (e.g. shareholder disclosure, financial crimes, lobbying, etc.)

  • Lead development and facilitate compliance training to all employees on appropriate Investments Compliance policies and requirements

  • Independently plans and leads a variety of complex compliance projects and/or initiatives

What you’ll need

  • Minimum 6 years of experience in asset management and/or other financial industry compliance experience

  • University degree in Business or related field /or professional certification (e.g. MBA, CPA, CA, CFA)

  • Demonstrated knowledge of financial instruments such as equities, fixed income, derivatives, options, futures, swaps and commodities or various combinations

  • Familiarity with: Code of Conduct, Substantial Shareholder Disclosure, Regulatory/Exchange Position Limits, Material Non-Public Information, US Securities Exchange Act of 1934, Ontario Securities Act, Anti-Bribery Corruption Act, Foreign Corrupt Practices Act, Lobbying Acts, CRC Energy Efficiency Scheme, Energy Savings Opportunity Scheme, Dodd-Frank, Qualified Foreign Institutional Investor program, or Markets in Financial Instruments Directive is considered an asset

  • Knowledge of or experience: personal trading surveillance, shareholder disclosure applications, restricted lists, attestation software, creation of forms and letters, presentations, operational improvements, business analysis and quality assurance testing, change management, or managing all phases of a project’s lifecycle is considered an asset

  • Strong understanding of capital markets to immediately establish trust and facilitate meaningful conversations with Investments and Legal

  • Advanced proficiency with Adobe PDF, Power BI, Microsoft Teams, PowerPoint, VBA, macros, or SQL querying is considered an asset

  • Demonstrated above-average analytical, research and problem-solving skills enhanced with excellent written and verbal communication skills

What we’re offering

  • Pay for performance environment that offers competitive salary and incentives

  • Numerous opportunities for professional growth and development

  • Comprehensive employer paid benefits coverage, including a Health Spending Account

  • Guaranteed retirement income through a defined benefit pension plan

  • Competitive time off

  • Discount programs including Edvantage and Perkopolis

  • Degreed: A digital platform that helps you quickly and easily discover, share, and track ALL kinds of learning resources – from courses to videos to articles and more

At Ontario Teachers’, we are a globally minded organization and take pride ensuring that the people we hire and the culture we create reflects and celebrates diversity of thought, background and experience.  Through our Inclusion & Diversity Employee Resource Groups (ERGs) events, celebrations, we offer a variety of opportunities for colleagues to connect for the purposes of professional development and networking & mentoring.

If you require an accommodation for the application, recruitment or interview process, please let us know and we will work with you to meet your needs.

How to apply

Are you ready to pursue new challenges and take your career to the next level? Apply today!

You may be invited to complete a pre-recorded interview as part of the recruitment process. This will take no longer than 10 minutes.

We thank you for applying, however, only those selected for a personal interview will be contacted. Note that candidates must be legally entitled to work in the country where this role is located.


Functional Area:

Legal & Corporate Affairs

Requisition ID:


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