Compliance Analyst
$60,000–$80,000 year
On-siteToronto, Ontario, Canada
Job Summary
Review and approve institutional, retail, and private client marketing and sales communication materials across all AGF entities to ensure compliance with regulatory requirements, including website content, product profiles, sales presentations, video commentaries, podcasts, social media posts, RFPs, and due diligence questionnaires. Review daily email communications, preparing periodic reports and escalations as necessary. Ensure appropriate records are maintained in relation to compliance monitoring and keep procedural documents up to date. Execute special projects and initiatives as assigned, including backing up the team and providing additional coverage as needed. This role sits within the Marketing & Communications Compliance team, working closely with other members of the global compliance team and staff of all AGF entities to manage regulatory risk.
Required Qualifications
- University degree
- Knowledge of capital markets and asset management industry with experience in the industry
- 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
- High degree of attention to detail
- Strong communication skills
- Project management skills
- Ability to multi-task and prioritize delivering high quality results within deadlines
Desired Qualifications
- Industry courses and/or accreditations (e.g. Canadian Securities Course)
- Desire to learn about AGF, its products and the investment management industry through the lens of reviewing sales communications and client reporting
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