Compliance Analyst

AGF; Toronto; On-site; CAD 60,000 - 85,000; Full time

Job summary

AGF is seeking a Compliance Analyst to support portfolio management compliance. This role involves overseeing compliance programs, utilizing technology for monitoring and reporting, and collaborating with compliance teams. Candidates should possess a university degree, relevant experience in asset management, and strong analytical skills.

Qualifications

• University degree supplemented by industry courses.
• Experience with trade monitoring in asset management.
• Proficiency in trade order management systems.

Responsibilities

• Design and test compliance rules in AIM.
• Collaborate on compliance programs associated with portfolio monitoring.
• Leverage Bloomberg for reporting.

Skills

Analytical skills

Attention to detail

Data manipulation in Excel

Understanding of capital markets

Education

University degree

Tools

Bloomberg

AIM

Microsoft Excel

Job description

About AGF:

Founded in 1957, AGF Management Limited (AGF) is an independent and globally diverse asset management firm. Our companies deliver excellence in investing in the public and private markets through three distinct business lines: AGF Investments, AGF Capital Partners and AGF Private Wealth. AGF brings a disciplined approach, focused on incorporating sound, responsible and sustainable corporate practices. The firm’s collective investment expertise, driven by its fundamental, quantitative and private investing capabilities, extends globally to a wide range of clients, from financial advisors and their clients to high-net worth and institutional investors including pension plans, corporate plans, sovereign wealth funds, endowments and foundations.

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:

Reporting to the Senior Analyst, Portfolio Management Compliance, the Compliance Analyst will support the Portfolio Management Compliance team in managing various components of the compliance programs for all AGF entities. 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. The successful candidate will work closely with other members of the global compliance team, as well as staff of all AGF entities.

Your Responsibilities:
1. Act as primary individual responsible for:

• Design and testing for compliance rules in AIM, including ongoing management of the existing rules for effectiveness and efficiency
• Clearing of alerts, etc. in AIM
• Leveraging Bloomberg in the preparation of relevant reporting to management and compliance in respect of:
  • Commissions monitoring
  • Portfolio monitoring
    
• Execution of compliance monitoring activities connected with the portfolio activities across all investment products (e.g. fair allocation, cross trading, interfund trading, soft dollars, etc.)

2. Provide support to compliance teams with respect to:

• The design and implementation of analytical templates, spreadsheets to support compliance trends and monitoring activities involving large volumes of data

3. Collaboration:

• Collaborate with other compliance team members as well as other departments as needed in the development, maintenance and administration of compliance programs associated with portfolio & trading practices monitoring.
• Provide timely, relevant information, and insight into the creation of internal reports, records and other documentation needed by compliance teams
  

Your Qualifications:

• University degree supplemented by industry courses and/or accreditations
• Experience with trade monitoring within asset management industry
• Proven proficiency in the use of trade order management system, preferably Bloomberg, AIM and exporting of data for analytical purposes
• Proficiency in the manipulation of data in excel
• Strong understanding in capital markets, security types & characteristics
• A general understanding of market-based rules associated with trading, investment restrictions and regulatory expectations as it relates to the portfolio restrictions for investment funds
• Strong analytical skills and high degree of attention to detail
• Experience with the Microsoft Office suite; advanced proficiency with Microsoft Excel would be an asset
• Ability to undertake special analytical projects, including facilitating change, integration across various entities, products and business lines

No unsolicited agency referrals please.

AGF is an equal opportunity employer. AGF welcomes and encourages applications from people with disabilities. Accommodations are available on request in all aspects of our recruitment and selection process. It is the Company's policy to recruit and select applicants for employment solely on the basis of their qualifications, with emphasis on selecting the best qualified person for the job. AGF does not discriminate against applicants based on race, color, religion, sex, national origin, or disability or any other status or condition protected by applicable legislation.

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