Compliance Officer

at  AIMCo Alberta Investment Management Corporation

CLOSING DATE:

September 20, 2024
Opportunity
This role is responsible for ensuring that client Investment Management Agreement, Investment Policy, AIMCo pool and strategy products, applicable regulations, and internal policies and guidelines are adhered to. As a member of the Compliance team, the Compliance Officer will provide professional support, assist Investment Compliance and provide training and education to the Investment teams.

Responsibilities:

• Performing and completing investment monitoring activities to ensure compliance with applicable regulations, such as market surveillance rules and internal policies and guidelines.
• Identifying potential exceptions, analyzing them and determining their severity, and recommending solutions to resolve them with appropriate parties.
• Actively monitoring trading throughout the day to ensure suitability and reasonability of trades.
• Providing support and guidance to staff outside of compliance department.
• Documenting and revising department procedures.
• Identifying and proposing efficiencies in Investment Compliance processes includes trading systems and reporting.
• Identifying and resolving issues on Compliance reporting from trading platforms.
• Representing the Compliance Department at internal meetings; assess impact and provide clarity on compliance requirements as required.
• Perform User Acceptance Testing on new products/systems/rules introduced to AIMCo.

Our Ideal Candidate:

• Minimum of 1–3 years of experience in investment compliance, trade surveillance and regulatory compliance, with experience within a financial institution, audit, risk management or investment management.
• Successful completion of a CFA advantageous
• Understanding of financial markets, institutional asset management, investment regulations and best practices relating to internal controls and procedures
• Broad exposure to financial instruments and derivatives.
• Experience with Order Management Systems – Charles River/Calypso/Aladdin
• SQL, PowerBI, VBA, Excel, Word, PowerPoint, Python
• Strong verbal and written communication skills.
• Self Motivated Team Player

Next Steps
We are excited to meet you. Please submit your resume or CV to be considered for this opportunity. Applications are being reviewed on a rolling basis and we will be in touch with any questions.
Final candidates will be asked to undergo a security screening, which includes a credit bureau and a criminal record investigation, the results of which must be acceptable to AIMCo.
ALERT - Be on the lookout for AIMCo career opportunities advertised through third parties that request an application fee or too much information. To verify, all opportunities are posted on aimco.ca/jobs
Just like our investments, our international team is stronger when we are diversified. At AIMCo, we draw upon the differences in who we are, where we come from, and the way we think to foster sophisticated solutions for Albertans. Doing business the right way means building an equitable organization inclusive of all races, genders, ages, abilities, religions, neurodiversity, identities, and lived experiences. Simply put, when you can show up as your authentic self every day, you and your team can truly thrive — all in service of our clients and their beneficiaries

• Performing and completing investment monitoring activities to ensure compliance with applicable regulations, such as market surveillance rules and internal policies and guidelines.
• Identifying potential exceptions, analyzing them and determining their severity, and recommending solutions to resolve them with appropriate parties.
• Actively monitoring trading throughout the day to ensure suitability and reasonability of trades.
• Providing support and guidance to staff outside of compliance department.
• Documenting and revising department procedures.
• Identifying and proposing efficiencies in Investment Compliance processes includes trading systems and reporting.
• Identifying and resolving issues on Compliance reporting from trading platforms.
• Representing the Compliance Department at internal meetings; assess impact and provide clarity on compliance requirements as required.
• Perform User Acceptance Testing on new products/systems/rules introduced to AIMCo