Compliance Analyst

6 months ago

Toronto, Canada AGF Management Limited 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.

About the Team:
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:
Your Responsibilities:

- Support the development, implementation and ongoing execution of compliance programs, as either primary or back-up, including:

- personal trading monitoring, management and reporting
- gifts and entertainment monitoring, management and reporting
- mutual fund sales practices management and reporting
- NI 45-106 regulatory reporting
- outside activities management and reporting
- Assist in the preparation of Board and IRC reporting
- Provide support, as needed, in the development and execution of training, policies and education as it relates to investment funds for the business, including in respect of the annual Code of Ethics company-wide courses and certifications
- Coordinate collection of materials and responses for regulatory and internal audits
- 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
- Compliance experience, ideally on the Investment Fund Manager (IFM) side; exposure to mutual fund sales practices would be an asset
- Solid knowledge of the business operations of investment funds and asset management industry
- Basic understanding of the Canadian regulatory framework and ability to interpret regulation and legislation (e.g., NI 81-102, NI 81-105, NI 45-106, NI 31-103, OSC Guidance, CASL, etc.)
- Strong analytical skills and high degree of attention to detail
- Strong communication and project management skills
- Experience with the Microsoft Office suite; advanced proficiency with Microsoft Excel would be an asset
- Ability to multi-task and prioritize in a time-pressured environment, delivering high-quality results within deadlines as a collaborative member of a team

No unsolicited agency referrals please.

R10931

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