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Manager, Compliance
University Pension Plan Ontario
- Toronto, Ontario, Canada
- Toronto, Ontario, Canada
Über
UPP is the first pension plan of its kind in Ontario's university sector, proudly serving over 44,000 members across six universities and eighteen sector organizations. Our purpose is to bring greater retirement peace of mind to the university sector by investing with integrity and serving members with care. As a sector-wide plan designed for growth, our doors are open to all Ontario universities.
UPP is recognized as one of Greater Toronto's Top Employers for 2026. Together, we're a team of progressive thinkers and agile doers operating within a fast-paced culture of collaboration and respect. We believe in bringing smart and capable people together to create, solve, and grow with a clear shared vision and values of integrity, inclusivity, ingenuity, and impact.
Our culture is intentionally welcoming and purposefully rooted in equity, diversity, inclusion, and reconciliation (EDI&R). We believe diverse teams, perspectives, and lived experiences contribute to better decisions and a better workplace.
As a pension plan, UPP approaches investing through a long-term lens to generate and safeguard value. Our commitment to investing responsibly accounts for material risks that impact our investment portfolio to generate sufficient risk-adjusted returns to meet the pension needs of our members.
Join us in building a bright future for our members, our organization, and each other.
THE ROLE
Reporting to the Associate Director, Compliance, the Manager, Compliance will be responsible for supporting the Associate Director, Compliance in executing the company's compliance programs.
The mandate for UPP's Manager, Compliance is to deliver against a portfolio of work supporting the Compliance program. Responsibilities include monitoring our investments portfolio for compliance with regulatory limits, providing compliance oversight for our Code of Conduct, and supporting work to formalize and automate our compliance processes. This role will require close cross-functional collaboration across teams, including our investments division.
This role is based in downtown Toronto under a hybrid work policy, allowing employees the flexibility to work remotely and in-office (approximately two days per week in-office).
This posting is for a existing vacancy.
KEY RESPONSIBILITIES
Acting as a lead subject matter expert (SME) on compliance related topics, including employee conduct related policies and procedures.
Provide advice and guidance to employees on matters relating to conduct and compliance to ensure staff understand their responsibilities under applicable rules and regulations.
Overseeing and managing activities related to monitoring of employees' Code of Conduct declarations, attestations, and certification processes, ensuring strict adherence to firm policies and promptly addressing any concerns or violations.
Supporting standard procedures for the intake, investigation and reporting of potential compliance related incidents to ensure they are properly recorded, tracked and are appropriately remediated.
Maintaining compliance databases and ensuring updates are made in a timely manner with high accuracy and completeness.
Supporting the evolution of UPP's compliance program through initiatives such as the implementation of automated processes and to work required to develop an inventory of compliance controls
Working with other teams to identify, review, and assess relevant compliance risks that could arise from new or ongoing investments.
Assisting and leading, as needed, the coordination and preparation of regulatory filings, requests for ad hoc compliance related information or questionnaires, etc.
Supporting the development of compliance training materials, communication, and presentations.
Assisting the development and production of internal compliance reports for business leaders, including those to Board Committees.
QUALIFICATIONS & EXPERIENCE
Minimum 5+ years experience in finance operations, asset management operations (preferably with an institutional asset manager), and/or pension compliance roles.
Experience working in a defined benefit pension plan would be an asset
Proficiency in MS Office is required, including Excel and PowerPoint
Knowledge of securities regulations would be strongly preferred.
Practical experience and knowledge of legislation governing the administration of a registered defined benefit pension plan, including the Pension Benefits Act and regulatory filings (i.e. FSRA, CRA, SEC) would be an asset
Experience with developing and managing databases, including development and automation of reporting would be an asset
Project management skills and demonstrated critical thinking and time management skills.
Demonstrated ability to work both independently and in a team environment,
ATTRIBUTES
Ability to drive results while cultivating a culture of collaboration and teamwork
Self-motivated with a hands-on attitude
Ability to build buy in and influence change across the organization at all levels
A strong communicator both in written and verbal communication
Pro-active problem solver
Ownership mindset
Commitment to excellence
Alignment with UPP's desire to be a leader in Responsible Investing, ESG, and climate change.
EXPECTED COMPENSATION
The expected compensation for this role is an annualized base salary in the range of $85,600 to $110,600. This range reflects the expected range for new hire base salaries and is subject to change and may be modified in the future.
You may also be eligible for a variable incentive depending on organizational, divisional and personal performance. The final total compensation offered will vary depending on your skills, experience and other factors.
LIFE AT UPP
Do work that matters. We are duty-bound to serve our members' interests, and it's a responsibility we don't take lightly. That's why we've ingrained sustainability in our work from day one—to ensure our members have a resilient future to retire into, both today and for generations to come.
Stronger together. Collaboration is how UPP was born, and it's how we work with each other and our partners day in, day out. No one at UPP is just a number (even if they are excellent at math) and every win is a shared win.
Grow every day. You'll have the opportunity to work on unique, once-in-a-career projects that maximize your skill set and probably teach you some new ones—at any stage in your career.
Prioritize wellness. At UPP, wellness takes many forms. Ultimately, it's about ensuring our people are cared for in the ways that matter to them. Check out some highlights of our inclusive employee-focused benefits program including:
Defined benefit pension plan
Flexible hybrid work model
Paid time off – vacations, personal days and wellness days
Work remotely up to eight weeks/year
Comprehensive group benefits including medical, dental, vision, etc.
Extended paramedical and mental health service coverage
Health care and lifestyle spending accounts
Fertility treatments, paid parental leave, and gender affirmation coverage
Education Assistance program
This posting will remain open for a minimum of seven (7) days and will remain open until a sufficient number of qualified applications are received or finalist candidates have been identified.
Artificial intelligence (AI) tools may be used to support certain stages of the recruitment process, including sourcing, screening, and assessment. All hiring decisions involve human review and intervention by UPP employees.
UPP enthusiastically welcomes applications from all qualified applicants and especially invites people with lived experience as an Indigenous person, a person with a disability or as a member of another Human Rights Code protected group that faces barriers to employment to apply. Our goal is to create a barrier-free experience for every candidate throughout the recruitment process.
UPP respects your privacy. For information on how UPP handles the personal information you provide during the application process, please see our Job Applicant Privacy Statement.
Sprachkenntnisse
- English
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