Job Purpose:

  • The AGF Compliance team, a centralized team of professionals serving AGF globally, is looking for a talented and driven individual to join our dynamic team
  • The team has developed strong and collaborative relationships with the business. Using a standardized centralized compliance framework, the team uses a risk based approach to support the business in maintaining key controls to meet its regulatory obligations and to successfully implement their strategic initiatives
  • Reporting to the Director, Structured Products Compliance, this role requires a detail oriented self-starter who has a passion for thinking outside of the box
  • As a Senior Compliance Analyst you will work closely with the business and collaborate with the larger Compliance team in managing a risk disciplined set of compliance programs

Your Responsibilities:

  • Investment Funds compliance oversight
  • Support the Director in the review and approval of all product and wholesaling marketing and sales communications including:
    • Website content
    • Product profile sheets
    • Sound choices materials
    • Strategic accounts pitchbooks (including Primerica)

    Assume responsibility to maintain the sales communication checklists for retail and institutional sales as they relate specifically to investment fund products/content

    • Assist in preparation of Funds Board and IRC reporting (group of funds, Quantshares, UCITS, 40 Act funds, as appropriate)
    • Assist in the review of Prospectuses, Annual Information Forms, and Offering Memoranda for Canadian Mutual Funds and Pooled Funds as well as the UCITS and the 40 Act Funds (AGFA products)
    • Support the Director in development and execution of compliance programs for all funds, including the AGFA 40 Act Funds and the AGFiQ ETFs
    • Support the Director and compliance team when launching, merging or terminating any investment funds

    Act as Back up and provide ongoing support as needed in respect of:

    • Monitoring all investment Funds portfolio trading activities using Bloomberg AIM
    • Sales practices oversight
    • AML/ATF activities
    • Privacy compliance oversight
  • Training & Policy Maintenance
  • Identify need for training and policy updates in the following areas:
    • Marketing & sales communications
    • Complaints handling
    • UCITS/40 Act Funds
    • ETFs (US/CAD)

    Provide support, as needed, in the development of training, policies and education as it relates to investment funds for the business, including in respect of the annual COE distribution activities

  • Compliance Cycles
    • Execute IFM/MF Compliance Review Cycles as they come due (using Ethidex) for AGFII (ETFs, mutual funds, pooled funds) –
    • Execution of the Dealer Compliance Review cycles as it relates to the distribution activities of AGFII (pools/MFs)
    • Identify any issues or concerns to the Director from any of the compliance cycles on a timely basis
  • Complaints Handling
    • Provide leadership in the administration and resolution of complaints received in respect of any of the investment fund products and services
    • Build key relationships with business stakeholders including marketing, retail advisor sales, strategic accounts and the product teams in the management of complaints and their resolution
  • Other
    • Special projects and initiatives as assigned by the VP or Director, including backing up the Team, providing additional coverage as needed

Skills and Qualifications:

  • Thorough working knowledge of the Canadian regulatory framework governing all investment funds (pooled, closed ended, ETFs, etc) and their distribution and at least 3 years working experience in a mutual fund manager compliance department.
  • A general understanding of the regulatory regime for UCITS and US 40 Act Funds preferred
  • Working experience surveilling portfolio trades using a Trade Order Management system (ideally Bloomberg)
  • Ability to multi-task and prioritize in a time-pressured environment, delivering high quality results within deadlines
  • Proficient in the understanding, identification and assessment of internal controls for the purposes of assessing the effectiveness of their design
  • Proven ability to locate, research and analyze regulatory requirements and apply practically to the operations of the business
  • A professional designation an asset (CPA,CA /CMA, CFA, CIM)
  • Asset management industry experience with advanced working knowledge of investment products.

Source: for more information click here.

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