Compliance & Customer Service Administrator

3 weeks ago

Ottawa, Canada AGF Management Limited Full time

About Doherty & Associates:
Doherty & Associates, a subsidiary of AGF Investments, is a private investment counsel firm that builds custom portfolios tailored for private clients as well as foundations and institutions. Doherty works with individual clients in all aspects of their finances, building a plan that will help them achieve their unique goals. Learn more about who we are and what we do at


Your Responsibilities:
Assist in planning and monitoring of Doherty’s Compliance obligations, including:

- Identifying regulatory requirements and staying abreast of changes in legislation
- Ensuring regulatory requirements are met
- Performing assessments of compliance
- Analyzing and developing action plans to address exposures
- Create, maintain, implement and update the company's policies and processes relating to:

- Anti-Money Laundering and Terrorist Financing (AMLTF)
- Privacy
- Complaint Handling
- Business Recovery Plan
- Client Servicing and Portfolio Management
- Ensure completion of various reports and/or provide detailed and factual information, all of which must be verified, summarized, and documented.
- Participate in external and internal financial/operational/compliance audits
- Work directly with clients to ensure proper on-boarding and ongoing KYC requirements

Your Qualifications:

- University degree in accounting, business, or related discipline (Canadian Securities Course considered an asset)
- 3 years experience in portfolio management industry with client service experience
- Experience with regulatory compliance activities, including administering compliance programs
- Ability to analyze and interpret regulatory, legal and commercial documents
- Self-planning skills sufficient to schedule, organize and complete work within established timeframes, while accommodating changing priorities.
- Strong relationship building, communication and interpersonal skills
- Good problem solving, influencing and decision making ability
- Strong computer skills including Excel

INDS

No unsolicited agency referrals please.

R10778

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