Compliance & Customer Service Administrator - Ottawa, Canada - AGF Management Limited
Description
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 atYour Responsibilities:
Assist in planning and monitoring of Doherty's Compliance obligations, as well as working directly with Doherty's clients
Responsibilities include:
- Work directly with clients to ensure proper onboarding and ongoing KYC requirements
- Identifying regulatory requirements and staying abreast of changes in legislation
- Ensuring regulatory requirements are met
- Performing assessments of compliance
- 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
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
- Selfplanning 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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