Regulatory Affairs

1 month ago

Ottawa, Canada AGF Full time

About AGF:

Founded in 1957, AGF Management Limited (AGF) is an independent and globally diverse asset management firm. Our companies deliver excellence in investing in the public and private markets through three distinct business lines: AGF Investments, AGF Capital Partners and AGF Private Wealth. AGF brings a disciplined approach, focused on incorporating sound, responsible and sustainable corporate practices. The firm’s collective investment expertise, driven by its fundamental, quantitative and private investing capabilities, extends globally to a wide range of clients, from financial advisors and their clients to high-net worth and institutional investors including pension plans, corporate plans, sovereign wealth funds, endowments and foundations.

About Doherty:

Founded in 1979 by Peter Doherty, Doherty & Associates Ltd. is an investment counsel firm headquartered in Ottawa, Ontario. With over $2 billion in assets under management, the firm manages segregated portfolios for foundations, trusts and high net-worth investors. Our long history of success through many market cycles is attributable to our disciplined philosophy of owning “Great Companies, at Great Prices.”

To this day, Doherty remains true to our founding principles of building high quality customized portfolios for our clients. The firm fosters an entrepreneurial spirit and is committed to our founding belief of providing clients with excellence in investment management and client service. Doherty works with clients in all aspects of their finances, building a plan that will help them achieve their unique goals. It has been Doherty’s privilege to assist multiple generations of clients over these many years in achieving their individual goals.

About the Role:

We are seeking a highly skilled and detail-oriented Compliance Manager to join our team. The Compliance Manager will be responsible for ensuring that our firm adheres to all regulatory requirements and internal policies. This role involves developing, implementing, and monitoring compliance programs to mitigate risks and ensure the integrity of our operations. The Compliance Manager will also have a direct report, providing leadership and guidance to support the compliance function.

Your Responsibilities:

  • Develop and implement systems to monitor and track regulatory requirements as they arise.
  • Maintain an up-to-date compliance manual and conduct regular risk assessments of controls and procedures, enhancing controls as needed.
  • Facilitate the creation of new policies, procedures, framework guidance materials, training, and communications related to regulatory and compliance initiatives and changes.
  • Stay abreast of regulatory changes, reports, and staff notices issued by regulators, and update policies and procedures accordingly.
  • Remediate and manage compliance-related risk exposures, including designing and applying controls.
  • Oversee and monitor compliance controls to ensure adherence.
  • Maintain client disclosure documents and conflict of interest matrices.
  • Research and collate requested information for internal and regulatory audits and other requests.
  • Ensure accurate and timely filing of regulatory reports to external regulatory bodies.
  • Respond to internal and external inquiries on compliance and reporting issues.
  • Provide leadership and guidance to a direct report, fostering a collaborative and compliant work environment.

Your Qualifications:

  • A post-secondary degree in finance, business administration, law, accounting, or a related field.
  • A minimum of three years of experience in compliance within the financial services industry.
  • Industry certifications such as CIA, CFA, CIM, etc., are a plus.
  • In-depth knowledge of regulatory requirements and industry best practices.
  • Strong analytical and problem-solving skills.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and as part of a team.
  • Exceptional written and verbal communication skills.
  • Outstanding organizational skills and attention to detail.
  • Effective policy writing skills.
  • Successful completion of the Canadian Securities Course and the Conduct and Practices Handbook Course, or a commitment to complete these upon hire.

#INDS

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.

# R11048 #J-18808-Ljbffr

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