Your Responsibilities:

  • Canadian Investment Fund Products:
  • Daily oversight and management of (self & staff) activities in monitoring compliance with all relevant and applicable regulatory & policy requirements of the investment funds ( QuantShares ETFs, NI 81-101/102 mutual funds, NI 45-106 pooled funds) including but not limited to:
  • Oversight of the Product related Complaints process and control over OBSI interactions
  • Management of all Privacy related incident management and reporting process
  • Escalation point for marketing and sales practices matters
  • International Investment Fund Products:
  • Daily oversight and management of (self & staff) activities in monitoring compliance with all relevant regulatory & policy requirements of the investment funds ( UCITS, 40 Act funds, US ETFs)
  • Oversight of the Product related Complaints process and reporting
  • Oversight of the global personal trading program and policy
  • Manage the effective application and recording of all product related compliance programs, including compliance controls assessments
  • Oversee all product compliance related management and board reporting, including presenting to boards as may be required from time to time
  • Designated compliance representative on management committees for the development and launch of new products (including material changes to existing products)
  • Act as AGF representative on external industry committees and compliance panels as approved by the VP, Corporate Compliance & Oversight
  • Support the needs of the executive leadership, across all AGF entities (note: multiple time zones), and provide support to the VP, Corporate Compliance & Oversight as required.

Skills and Qualifications:

  • A professional designation a definite asset (CPA,CA /CMA, CFA, CIM, LLB)
  • Expectation for longer term completion of exams required for registration as Permitted Individual (CCO)
  • Demonstrated knowledge and proficiency in the Canadian regulatory environment governing investment funds(NI 45-106 and NI 81-101/102 and ETFs) and some knowledge of the US and European environments (IC 40Act and UCITS) a requirement (min 3 years exp. in compliance oversight of these products)
  • Detailed understanding of the regulatory environments for sales practices, marketing and disclosure requirements in Canada with some knowledge for the European and US jurisdictions. (min 2-3 years of experience in compliance oversight role)
  • Working knowledge of the use of a trade order management system to monitor portfolio compliance( ideally Bloomberg AIM)
  • Demonstrated understanding and knowledge of the following regulatory regimes, primarily in Canada and secondarily in Europe & USA
  • Personal trading, insider rules, aggregate holdings obligations
  • Privacy obligations
  • Complaints & arbitration obligation
  • Anti-Money Laundering & Anti-Terrorist Financing obligations
  • Demonstrated knowledge of compliance control reviews and risk assessments processes and ability to undertake research to understand foreign regulatory compliance control expectations
  • Understanding and acceptance of the need to be available to the needs of senior leadership, boards of directors and independent committees in multiple time zones.

Source: for more information click here.

Share: