Senior Compliance Analyst

AGF Investments; Toronto; On-site; CAD 70,000 - 95,000; Full time

Job summary

AGF Investments is seeking a Senior Compliance Analyst to join the Marketing and Communications Compliance team. The successful candidate will ensure compliance of marketing materials and sales communications across AGF's entities while promoting effective use of compliance technology. This role requires a strong understanding of capital markets, attention to detail, and proficiency in compliance regulations, making it an exciting opportunity for those looking to advance in the finance sector.

Qualifications

• 3+ years in a Compliance role in the asset management industry.
• Strong understanding of Capital Markets and investment securities.
• Understanding of the Canadian regulatory framework.

Responsibilities

• Review and approve marketing and sales communication materials for regulatory compliance.
• Prepare compliance oversight reporting on responsible areas.
• Act as lead administrator on related compliance systems.

Skills

Analytical skills

Attention to detail

Project management skills

Communication

Problem solving

Education

University degree

Canadian Securities Course

Tools

Microsoft Office Suite

Job description

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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 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 Manager, Compliance, the Senior Compliance Analyst will be a key member of the Marketing and Communications Compliance team. The successful candidate will promote effective use of 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.

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 email communications, preparing periodic reports and escalations as necessary
• Review of social media profiles and posts by designated employees , and prepare periodic reports and escalations as necessary
• Prepare compliance oversight reporting on responsible areas
• Provide support, as needed, in the development and execution of training, policies and education as it relates to sales communications compliance for the business
• Act as lead or back up administrator on related compliance systems
• Ensure appropriate records are maintained in relation to compliance monitoring
• Ensure policy and procedural documents are up to date
• Lead or support ad hoc projects and initiatives relating to marketing compliance, including new fund launches, marketing campaigns and automation projects.

Your Qualifications :

• University degree supplemented by industry courses and / or accreditations (e.g. Canadian Securities Course)
• 3+ years in a Compliance role in the asset management industry
• Experience reviewing sales communications from a Compliance perspective
• Strong understanding of Capital Markets and investment securities
• Desire to learn about AGF, its products and the investment management industry through the lens of reviewing sales communications and client reporting
• Understanding of the Canadian regulatory framework and ability to interpret legislation (i.e. NI 81-102, NI 31-103, OSC Guidance)
• Strong problem solving, analytical skills and a high degree of attention to detail
• Strong communication and project management skills
• Ability to build strong relationships with business partners
• Previous experience with implementation of software tools is a plus
• Proficient in Microsoft Office suite
• Ability to multi-task and prioritize delivering high quality results within deadlines as a collaborative member of a team
• Ability to communicate in French is an asset

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.

R11160

Seniority level

Seniority level

Mid-Senior level

Employment type

Employment type

Full-time

Job function

Job function

Legal

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