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Reporting to the Manager, Compliance and Ethics, the Senior Analyst will support our institutional and personal trading monitoring programs. As an integral member of the Compliance & Ethics Department, this position requires a highly analytical individual interested in developing their technical expertise, who is able to work well in a team environment.
Key Responsibilities:
Institutional Trading Monitoring
Preserve the confidentiality of information/investment opportunities of each Business Unit by maintaining the Restricted List
Prevent unnecessary impediments to public investment activities by performing a thorough analysis of holdings and by reviewing current trading activity upon request from Business Units
Occasional research of company structures and exchange listings is required using Bloomberg Anywhere and public sources
Perform due diligence and conflict checks in support of Credit transactions in North America & Europe
Maintain access controls for virtual data rooms hosted on platforms (ex, S&P Debtdomain, FIS SyndTrak)
Act as intermediary in relation to institutional exception requests from front office
Conduct research, provide analysis and help brainstorm solutions in respect of regulatory compliance issues
Prior experience and familiarity with substantial shareholder and short selling disclosure monitoring is desirable
Personal Trading Monitoring
Monitor, analyze, and review personal trading activity and escalate violations to Director
Respond to employee inquiries with respect to reporting requirements, policy interpretations, trading approval, and system use
Develop relevant subject-matter expertise
Track trading account data and communicate with brokerage firms to obtain duplicate account statements and trade records
Review and input trade data into the personal trading system to help maintain the personal trading database
Intermediate personal trading exception requests from employees
Perform tasks to support account statement collection and inventory management processes
Contribute to the enhancement of the personal trading system and processes related to trade monitoring by identifying and escalating process/system issues and limitations with Manager and Director to improve trade monitoring processes and reporting
Qualifications:
University degree in finance, economics or equivalent
Minimum 3-5 years of relevant in-depth experience within a large Canadian regulated entity, including exposure to complex technology applications related to Compliance monitoring, such as FIS Protegent Personal Trading Assistant (PTA), Charles River (CRD), Blackrock Aladdin, Bloomberg Anywhere, Aosphere Rulefinder
CFA level 1
Proven experience in either institutional or personal trading monitoring is highly desired
Strong working knowledge of investment products and markets, with some familiarity with securities regulation
Completion of the Canadian Securities Course and/or experience in the Canadian investment industry is recommended
Exceptional attention to detail and ability to communicate clearly, concisely and accurately (both verbal and written)
Demonstrated analytical, problem solving and organization skills
Strong interpersonal and relationship management skills
Self-starter who takes initiative, with a practical approach to handling competing priorities and meeting tight deadlines
Ability to manage working in a fast-paced, high-volume environment
Thorough knowledge of Microsoft Office programs, including but not limited to Power BI, SharePoint and intermediate to advanced-level Excel skills
This posting is for an existing vacancy.
The expected salary range for this position is $72,000.00 - $108,000.00 per year.
You may also be eligible to receive an annual Incentive Award pursuant to our Short-term Incentive plan and our Long-Term Incentive plan (if applicable), and to participate in our group benefits and retirement plans – details on these elements of compensation are included within OMERS & Oxford offer letters.
As one of Canada’s largest defined benefit pension plans, our people-first culture is at its best when our workforce reflects the communities where we live and work — and the members we proudly serve.
From hire to retire, we are an equal opportunity employer committed to an inclusive, barrier-free recruitment and selection process that extends all the way through your employee experience. This sense of belonging and connection is cultivated up, down and across our global organization thanks to our vast network of Employee Resource Groups with executive leader sponsorship, our Purpose@Work committee and employee recognition programs.
Artificial intelligence (AI) tools are used to support certain stages of the OMERS recruitment process. While AI assists us in our process, human judgment and decision-making remain central to our candidate experience.
