Compliance & Customer Service Administrator - Ottawa, Canada - AGF Management Limited

AGF Management Limited

Verified Company

Ottawa, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

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 at

Your 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