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AVP, Investment Funds

3 months ago

Old Toronto, Canada AGF Management Limited Full time

AVP, Investment Funds & Product Compliance page is loaded AVP, Investment Funds & Product Compliance Apply locations Toronto, ON time type Full time posted on Posted 19 Days Ago job requisition id R10998

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.

About AGF’s Global Compliance Program:

Through a centralized approach to global compliance, AGF ensures that each registered entity in its group of companies has the appropriate compliance framework and program in place to manage overall regulatory risk. The compliance team is responsible for developing, implementing and reporting on the global compliance program. Although specific regulatory obligations vary by jurisdiction, in principle they address similar requirements and have similar risk implications. As such, while each AGF Entity maintains its own specific policies and procedures tailored to its specific business, process and jurisdictional regulatory requirements and risks, efforts are made to align all AGF Entities’ policies and procedures where possible. 

About the Role:

Reporting to the Global Head of Compliance and Chief Compliance Officer, AGF Investments Inc., the AVP, Investment Funds and Product Compliance will assist with all investment fund related compliance oversight and program areas and regulatory initiatives. The focus of will be public mutual funds (including liquid alternatives), ETFs, and exempt market products marketed and distributed to Canadian retail investors (via third party broker/dealer firms and their advisors).

Your Responsibilities:

  • Provide regulatory guidance to the business with respect to new product design including mutual funds, ETFs and alternative products considering global regulatory regimes
  • Assist with reporting and oversight of mutual fund sales practices and product related complaints process
  • Oversee investment fund related compliance processes, such as short term and frequent trading policy, AML, foreign order execution, and unclaimed property
  • Report to the Funds Board and related independent review committees on request
  • Participate in the development of new products, new services, communication and sales strategies, and new initiatives with the objective of identifying regulatory requirements and risks and advising on best practices to manage identified risk exposures
  • Create and update policies and procedures, senior management and board reporting, subsidiary support and oversight, enterprise-wide training, internal and external audits, selection and support of fintech tools/service providers related to investment fund processes
  • Support the initial and on-going due diligence and on-boarding of new strategic partners/entities
  • Collaborate with Marketing & and Product teams and AGF Investor Services to manage the implementation of new and the maintenance of existing products and services

Your Qualifications:

  • 10+ years of demonstrated work experience (i.e. hands-on experience interpreting and operationalizing regulatory change initiatives) within an asset management, legal, or other financial industry environment
  • Strong knowledge of the investment management industry in Canada. Experience with alternative products is an asset
  • Understanding of the regulatory framework and investment management industry best practices (e.g., NI 81-102, NI 31-103 etc.,)
  • Depth of knowledge of internal controls pertaining to global asset managers
  • Strong organizational skills and demonstrated ability to manage simultaneous priorities
  • Ability to build relationships with teams across the organization, excellent interpersonal skills, working effectively with individuals across cultures, functions and levels of seniority.
  • Ability to exercise diligence, diplomacy and discretion when dealing with confidential information
  • Excellent oral and written communication skills
  • A university degree (preferably in finance, business administration, law, accounting, or similar)
  • Other compliance or industry certifications a plus (CFA, CIM, etc.) preferred.

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.

# R10998 About Us

Invested in Discipline. 

At AGF, our approach is defined by three principles: S hared I ntelligence , M easured A pproach and Active A ccountability . 

Together, they create a disciplined process that is transparent, repeatable, and deeply woven into our DNA – delivering consistent outcome to our clients, whatever tomorrow may bring. 

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