Compliance Analyst - Toronto, Canada - AGF Management Limited

AGF Management Limited

Verified Company

Toronto, Canada

1 week ago

Posted by:

Sophia Lee

beBee Recruiter

Description

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:
Promote effective use of technology in the ongoing oversight of portfolio compliance and support the partnering with investment management to achieve business goals through the provision of innovative support and advice, relevant and timely reporting and generally positively contribute to desired outcomes.

Your Responsibilities:

Review and approve institutional, retail and private client marketing and sales communication materials for AGF Investments' global investment management and private client entities to ensure compliance with regulatory requirements (including website content, product profiles, sales presentations, video commentaries, podcasts, social media posts, RFPs, due diligence questionnaires etc.)
Provide support in the submission of marketing materials relating to US brokerdealer business
Ensure appropriate records are maintained in relation to compliance monitoring
Ensure procedural documents are up to date
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
Knowledge of investment funds and asset management industry with experience in the industry
Desire to learn about AGF, its products and the investment management industry through the lens of reviewing sales communications and client reporting
Basic understanding of the Canadian regulatory framework and ability to interpret legislation (i.e. NI 81102, NI 81105, NI 45106, NI 31103, OSC Guidance)
Strong analytical skills and a high degree of attention to detail
Strong communication and project management skills
Ability to multitask and prioritize delivering high quality results within deadlines as a collaborative member of a teamNo unsolicited agency referrals please.

R10944