Compliance Manager Role for Regulatory Expert

1 week ago

Ottawa, Ontario, Canada AGF Full time

About AGF

AGF Management Limited, a globally diverse asset management firm founded in 1957, delivers excellence in investing through three business lines: AGF Investments, AGF Capital Partners, and AGF Private Wealth.

The firm's collective investment expertise extends globally to clients including financial advisors, high-net worth investors, and institutional investors such as pension plans, corporate plans, sovereign wealth funds, endowments, and foundations.

About the Compliance Manager Role

We are seeking a highly skilled and detail-oriented Compliance Manager to join our team. The successful candidate 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 provide leadership and guidance to support the compliance function.

Your Key Responsibilities:

  • Develop and implement systems to monitor and track regulatory requirements.
  • Maintain an up-to-date compliance manual and conduct regular risk assessments of controls and procedures.
  • Facilitate the creation of new policies, procedures, framework guidance materials, training, and communications related to regulatory and compliance initiatives.
  • Stay abreast of regulatory changes and update policies and procedures accordingly.
  • Remediate and manage compliance-related risk exposures.
  • 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.
  • Ensure accurate and timely filing of regulatory reports.
  • Respond to inquiries on compliance and reporting issues.
  • Provide leadership and guidance to a direct report.

Qualifications and Requirements:

  • 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.

Salary Range:$80,000 - $120,000 per year depending on qualifications and experience.

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