OverviewOMERS Analyst, Compliance & Ethics Full Time in Toronto, ON
Branch Toronto ON CA
Analyst, Compliance & Ethics
The benefits and services we provide are funded by equal contributions from active members and their employers, and the investment earnings of our Fund….
Why join us?
OMERS is the defined benefit pension plan for approximately 480,000 active, deferred and retired employees from nearly 1,000 municipalities, school boards, libraries, police and fire departments, and other local agencies in communities across Ontario.
The benefits and services we provide are funded by equal contributions from active members and their employers, and the investment earnings of our Fund. Our $95 billion of net assets are invested in a diversified global portfolio of public investments, private equity, infrastructure and real estate. We have OMERS employees in Toronto and other major cities across North America, the U.K., Europe, Australia and Singapore. We work towards our vision to make OMERS a leading model for defined benefit pension plan sustainability. Our core mission is to deliver secure and sustainable pensions to our members.
Reporting to the Manager, Trading Compliance, the Analyst will support the maintenance of effective institutional and personal trading controls. 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.
As a member of this team, you will be responsible for:
Personal and Institutional Trading Monitoring and Reporting
- Monitor, analyze, and review personal trading activity and escalate violations to Manager
- Respond to employee inquiries with respect to reporting requirements, policy interpretations, trading approval, and system use
- Track trading account data and communicate with brokerage firms to obtain duplicate statements and confirms
- 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 the Bloomberg Terminal and public sources
- Act as intermediary in relation to personal and institutional trading exception requests
- Assist with the preparation of reports on personal and institutional trading compliance and/or regulatory developments for use in reporting to senior management and/or Board committees
- Conduct research, provide analysis and help brainstorm solutions in respect of regulatory compliance issues
- Support Director and Manager on other projects and initiatives as required
Substantial Shareholder Reporting
- Review daily alerts and review holdings reports in order to identify potential ad hoc filing triggers
- Perform analysis of jurisdiction-specific filing requirements as directed
- Work with Manager to ensure anticipated and ad hoc filings are made within applicable deadlines
To succeed in this role, you:
- University degree in finance, economics or equivalent
- Minimum 2-3 years of relevant in-depth experience within a large Canadian regulated entity
- Proven experience in either personal or institutional trading monitoring is highly desired
- 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 and problem solving skills
- Strong interpersonal and relationship management skills
- Self-starter who takes initiative, with a practical approach to handling competing priorities and meeting tight deadlines
- Thorough knowledge of Microsoft Office programs
- Intermediate to Advanced Excel skills
Employment Type: Full Time
Location: Toronto, ON, CA
Posted on: 2018-04-20