Compliance Analyst

AGF Investments; Toronto; On-site; CAD 60,000 - 80,000; Full time

Job summary

AGF Management Limited is seeking a Marketing & Communications Compliance professional to oversee the review of sales communications and marketing materials across AGF Investments and related entities. The role focuses on ensuring regulatory compliance, monitoring communications, and maintaining thorough records.

The successful candidate will work with the global compliance team, gain exposure to capital markets and asset management, and contribute to projects that strengthen AGF's compliance

Qualifications

• University degree supplemented by industry courses and/or accreditations (e.g. Canadian Securities Course)
• Knowledge of capital markets 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 81-102, NI 81-105, NI 45-106, NI 31-103, OSC Guidance)
• Strong analytical skills and a high degree of attention to detail
• Strong communication and project management skills
• Ability to multi-task and prioritize delivering high quality results within deadlines as a collaborative member of a team

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.)
• Review daily email communications, preparing periodic reports and escalations as necessary
• Review social media posts, preparing periodic reports and escalations as necessary
• 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

Skills

Regulatory compliance

Analytical skills

Communication skills

Project management

Attention to detail

Multi-tasking

Team collaboration

Education

University degree with industry courses/accreditations

Job description

About AGF Management Limited:

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 business lines: AGF Investments, AGF Capital Partners and AGF Private Wealth.

About AGF Management Limited:

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 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 alternative 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.

Headquartered in Toronto, Canada, AGF has investment operations and client servicing teams on the ground in North America and Europe. AGF serves more than 820,000 investors. AGF trades on the Toronto Stock Exchange under the symbol AGF.B.

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:

As part of the Marketing & Communications Compliance team, the successful candidate will utilize technology in the ongoing oversight of sales communications and marketing across all of AGF’s entities. The successful candidate will work closely with other members of the global compliance team, as well as staff of all AGF entities. This role is open to fill a vacancy.

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.)
• Review daily email communications, preparing periodic reports and escalations as necessary
• Review social media posts, preparing periodic reports and escalations as necessary
• 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 (e.g. Canadian Securities Course)
• Knowledge of capital markets 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 81-102, NI 81-105, NI 45-106, NI 31-103, OSC Guidance)
• Strong analytical skills and a high degree of attention to detail
• Strong communication and project management skills
• Ability to multi-task and prioritize delivering high quality results within deadlines as a collaborative member of a team

Compensation:

The anticipated compensation range for this role is $60,000 - 80,000 annually, which represents base salary and, where applicable, variable compensation components (e.g. annual bonus, commissions, etc.). Actual compensation will be determined based on many factors such as role location, candidate experience / qualifications, market conditions, and internal equity.

AGF aims to offer a comprehensive and competitive total rewards package designed to support the success and well-being of our employees, which may include a combination of base salary, variable compensation, benefits, and retirement savings plans.

No unsolicited agency referrals please.

AGF is an equal opportunity employer committed to fostering an inclusive and accessible workplace. We welcome and encourage applications from individuals of all backgrounds, including women, Indigenous peoples, racialized persons, persons with disabilities, and members of the 2SLGBTQIA+ community.

We do not discriminate on the basis of race, national or ethnic origin, colour, religion, age, sex, sexual orientation, gender identity or expression, marital status, family status, disability, or any other status protected by applicable legislation.

We are committed to providing reasonable accommodations for applicants with disabilities throughout the recruitment process. If you require accommodation at any stage of the application or hiring process, please contact us at [e-mail] so that appropriate arrangements can be made.

# R11320