Compliance Analyst

3 days ago

Ottawa, Canada ISTITUTO MARANGONI Full time

About AGF:

Founded in 1957, AGF Management Limited is an independent and globally diverse asset management firm. AGF brings a disciplined approach to delivering excellence in investment management through its fundamental, quantitative, private capital, and high-net-worth businesses. Our suite of diverse investment solutions extends globally to a wide range of clients, from individual investors and financial advisors to institutions, including pension plans, corporate plans, sovereign wealth funds, endowments and foundations. Our commitment to the principles of good stewardship and responsible investment is a positive differentiator for AGF. We believe integrating Environmental, Social and Governance (ESG) issues into our investment decision-making and ownership practices across platforms will help deliver better investment outcomes to our clients.

Your Responsibilities:

  • Review and approve institutional, retail and private client marketing and sales communication materials for AGF Investments’ global investment management and private client entities to ensure compliance with regulatory requirements (including website content, product profiles, sales presentations, video commentaries, podcasts, social media posts, RFPs, due diligence questionnaires etc.)
  • Provide support in the submission of marketing materials relating to US broker-dealer business
  • Review daily email communications, preparing periodic reports and escalations as necessary
  • Review of social media profiles and posts by socially enabled employees (and certain non-socially enabled employees), preparing periodic reports and escalations as necessary
  • Prepare compliance oversight reporting
  • Act as backup or lead administrator on various compliance systems
  • Ensure appropriate records are maintained in relation to compliance monitoring
  • Ensure procedural documents are up to date
  • Special projects and initiatives as assigned, including backing up the team and providing additional coverage as needed

Your Qualifications:

  • University degree supplemented by industry courses and/or accreditations
  • Knowledge of investment funds and asset management industry with experience in the industry
  • Desire to learn about AGF, its products and the investment management industry through the lens of reviewing sales communications and client reporting
  • Basic understanding of the Canadian regulatory framework and ability to interpret legislation (i.e. NI 81-102, NI 81-105, NI 45-106, NI 31-103, OSC Guidance)
  • Strong analytical skills and a high degree of attention to detail
  • Strong communication and project management skills
  • Proficient in Microsoft Office products
  • Ability to multi-task and prioritize delivering high quality results within deadlines as a collaborative member of a team

No unsolicited agency referrals please.

AGF is an equal opportunity employer. AGF welcomes and encourages applications from people with disabilities. Accommodations are available on request in all aspects of our recruitment and selection process. It is the Company's policy to recruit and select applicants for employment solely on the basis of their qualifications, with emphasis on selecting the best qualified person for the job. AGF does not discriminate against applicants based on race, color, religion, sex, national origin, or disability or any other status or condition protected by applicable legislation.

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