Senior Compliance Officer

at  AIMCo Alberta Investment Management Corporation

CLOSING DATE:

January 25, 2025
Opportunity
Step into this new role in the capacity of a Senior Compliance Officer, your role will be instrumental in safeguarding the adherence to client’s Investment Management Agreements, Investment Policies, AIMCo pools, and strategy products. You’ll ensure that internal policies, guidelines, and relevant regulations are strictly followed. As a key member of our Compliance team, your expertise will not only support and bolster Investment Compliance but also contribute to fostering trust with clients. This role offers the unique opportunity to blend professional responsibility with the excitement of maintaining high standards of compliance and continuous learning, thereby contributing significantly to our organization’s success.
With AIMCo you can Work our way (WoW) from Edmonton, or Calgary. Our flexible work style lets you work remotely while allowing regular visits to our vibrant offices, where you can soak up our culture and collaborate with colleagues.

Responsibilities Include:

• 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.
• Performing trade surveillance tasks and ensuring compliance with market manipulation regulations
• 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 3–5 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
• Demonstrates a strong commitment to AIMCo’s core values of excellence, transparency, humility, integrity and collaboration, and inspires the same in others

Note: This role will close at 11:59MST on January 24, 2025
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.
• Performing trade surveillance tasks and ensuring compliance with market manipulation regulations
• 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