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Compliance Officer

1 month ago

Toronto, Ontario, Canada AGF Investments Full time

About AGF Investments:

AGF Investments is a global asset management firm that brings a disciplined approach to delivering excellence in investment management. 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.

Your Responsibilities:

  • Review and approve marketing and sales communication materials for AGF Investments' global investment management entities to ensure compliance with regulatory requirements.
  • Provide support in the submission of marketing materials relating to US broker-dealer business.
  • Review daily email communications, preparing periodic reports and escalations as necessary.
  • Review social media profiles and posts, preparing periodic reports and escalations as necessary.
  • Prepare compliance oversight reporting.
  • Act as backup or lead administrator on various compliance systems.
  • Ensure appropriate records are maintained in relation to compliance monitoring.
  • Ensure procedural documents are up to date.
  • Special projects and initiatives as assigned.

Your Qualifications:

  • University degree supplemented by industry courses and/or accreditations.
  • Knowledge of investment funds and asset management industry with experience in the industry.
  • Desire to learn about AGF Investments, its products and the investment management industry.
  • Basic understanding of the Canadian regulatory framework and ability to interpret legislation.
  • Strong analytical skills and a high degree of attention to detail.
  • Strong communication and project management skills.
  • Proficient in Microsoft Office products.
  • Ability to multi-task and prioritize delivering high quality results within deadlines.