Senior Compliance Analyst, Marketing & Communications

AGF Investments; Toronto; On-site; CAD 120,000 - 140,000; Full time

Job summary

A leading asset management firm in Toronto seeks a Senior Compliance Analyst for its Marketing & Communications team. The role involves reviewing marketing materials, ensuring compliance with regulations, and fostering strong relationships with business partners. Candidates should have a university degree, experience in compliance, and a solid understanding of investment securities. This full-time position offers a competitive salary range of CAD 120,000 to 140,000.

Qualifications

• 3+ years in a Compliance role in the asset management industry.
• Strong understanding of capital markets and investment securities.
• Ability to interpret Canadian regulatory framework.

Responsibilities

• Review marketing and sales communication materials for compliance.
• Prepare compliance oversight reporting on responsible areas.
• Support in the development and execution of compliance training.

Skills

Problem solving

Analytical skills

Attention to detail

Communication skills

Project management

Education

University degree

Canadian Securities Course

Tools

Microsoft Office

Job description

Senior Compliance Analyst, Marketing & Communications

Senior Compliance Analyst, Marketing & Communications

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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 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, Marketing & Communication 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

Seniority level

Seniority level

Associate

Employment type

Employment type

Full-time

Job function

Job function

Legal

Industries

Financial Services and Investment Management

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