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
Established in 1960, the Healthcare of Ontario Pension Plan (HOOPP) is a multi-employer defined benefit pension plan for Ontario's hospital and community-based healthcare sector. It was founded in 1960, and is headquartered in Toronto, Ontario, CAN, with a workforce of 1001-5000 employees. Its website is https://hoopp.com/.
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