Regulatory Affairs Specialist

3 weeks ago

Ottawa, Ontario, Canada AGF Full time
About AGF

AGF Management Limited is a pioneering asset management firm founded in 1957. Our three distinct business lines – AGF Investments, AGF Capital Partners, and AGF Private Wealth – deliver excellence in investing through sound corporate practices. With expertise spanning public and private markets, we cater to various clients, including financial advisors, high-net worth investors, pension plans, and sovereign wealth funds.

With over $2 billion in assets under management, Doherty & Associates Ltd. is an esteemed investment counsel firm established in 1979 by Peter Doherty. Our customized portfolios are designed for foundations, trusts, and high net-worth investors, reflecting our disciplined approach of owning 'Great Companies at Great Prices.'

We uphold our founding principles of providing exceptional client service, fostering an entrepreneurial spirit, and adhering to our commitment to excellence in investment management. At Doherty, we strive to help clients achieve their unique goals, building long-lasting relationships that span multiple generations.

The Role: Compliance Manager

We seek a detail-oriented Compliance Manager with extensive knowledge of regulatory requirements and industry best practices. As the key figure in ensuring compliance, you will develop, implement, and monitor compliance programs to mitigate risks and guarantee operational integrity. Your leadership skills will be essential in guiding a direct report and supporting the compliance function.

Your Responsibilities:
  • Develop systems to track and monitor regulatory requirements, staying up-to-date on emerging changes.
  • Maintain a comprehensive compliance manual and conduct regular risk assessments of controls and procedures, enhancing them as needed.
  • Create new policies, procedures, framework guidance materials, training, and communications related to regulatory and compliance initiatives.
  • Stay informed about regulatory updates, reports, and notices, updating policies and procedures accordingly.
  • Remediate and manage compliance-related risk exposures, applying relevant controls.
  • Oversee and monitor compliance controls to ensure adherence.
  • Maintain accurate client disclosure documents and conflict of interest matrices.
  • Research and collate information for internal and regulatory audits and other requests.
  • Ensure timely filing of regulatory reports to external bodies.
  • Respond to inquiries on compliance and reporting issues.
Your Qualifications:
  • A degree in finance, business administration, law, accounting, or a related field.
  • Minimum three years of experience in compliance within the financial services industry.
  • Industry certifications such as CIA, CFA, CIM, etc., are advantageous.
  • 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.
  • Completion of the Canadian Securities Course and Conduct and Practices Handbook Course or a commitment to complete these upon hire.

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