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.
AGF’s Global Compliance Program:
Through a centralized approach to global compliance, AGF Management Limited (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.
Reporting to the Global Head of Compliance and Chief Compliance Officer, the successful candidate will serve as the Chief Compliance Officer for AGF’s SEC-registered entity and be responsible for the US compliance program. The successful candidate will work closely with the centralized AGF compliance team and AGF’s various business units to oversee compliance activity related to the U.S.
Your Responsibilities:

Responsible for the oversight and execution of the US compliance program:

• Develop and implement documented, robust and effective compliance policies and processes
• Identify and evaluate compliance and regulatory risks facing the US firms and assist with strategic mitigation of identified risks
• Ensure applicable regulatory changes are addressed completely and consistently, ensuring relevant training is provided, as necessary
• Identify and ensure delivery of relevant training for employees
• Review and approval of marketing materials and client certifications and reporting
• Oversee outsourced compliance activities to AGF global compliance team and collaborate in the design and implementation of day-to-day supervisory and monitoring activities
• Act as Supervising Principal for AGF Investments
• Provide timely and practical advice and direction to senior management on all issues concerning US compliance policies, rules, regulations and procedures
• Develop and maintain strong relationships with senior management, centralized compliance team members, internal business partners and regulators
• Proactively collaborate with other departments as needed to ensure US compliance issues are addressed, investigated and resolved
• Collaborate and provide guidance to other AGF entities that have US business activities

Critical Leadership Capabilities

Business Acumen

• Strong technical skills, sharp intellect and the ability to understand difficult, complex compliance and business issues while providing practical, workable solutions to the business.
• A demonstrated knowledge of current regulations and policies impacting the business and awareness of potential changes or trends in policy.
• Demonstrated experience implementing a successful compliance program, with knowledge of and experience with overseeing and implementing policies including gifts and entertainment, code of ethics, anti-money laundering and other relevant asset management compliance rules and regulations.

Collaborate and Influence

• A compliance leader who can work with colleagues, senior management and partners across the business to devise pragmatic and creative solutions.
• Proven ability to constructively work with cross-functional stakeholders to enhance compliance controls, assess risk and address concerns.
• A leader with superior interpersonal skills and the ability to develop relationships with multiple parties and individuals at all levels of the organization.
• A compliance leader with a demonstrated ability to establish processes or practices to encourage and reinforce innovation and change thinking across the compliance function.

Other Personal Characteristics

• High personal and professional integrity and ethics.
• Strong judgment and the ability to engender trust.
• “Hands-on” analytical skills and a process-driven mentality.
• Demonstrates good interpersonal skills.
• Strong communication skills and fear and tactful in handling crucial conversations.

Ideal Experience:

• 10+ years in the compliance function or equivalent experience providing advanced knowledge of the compliance and regulatory environment in the US.
• Experience with and substantial knowledge of the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA rules, and the day-to-day compliance affairs of investment advisers.
• Demonstrated experience implementing a successful compliance program, with particular knowledge of and experience with overseeing and implementing policies including gifts and entertainment, code of ethics, anti-money laundering and other relevant asset management compliance rules and regulations.
• Professional designation, regulatory/industry examinations and associated industry specific experience a definite asset [e.g. series 7, 63, 24 exams, CFA, JD, CPA, etc.]

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.

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• Develop and implement documented, robust and effective compliance policies and processes
• Identify and evaluate compliance and regulatory risks facing the US firms and assist with strategic mitigation of identified risks
• Ensure applicable regulatory changes are addressed completely and consistently, ensuring relevant training is provided, as necessary
• Identify and ensure delivery of relevant training for employees
• Review and approval of marketing materials and client certifications and reporting
• Oversee outsourced compliance activities to AGF global compliance team and collaborate in the design and implementation of day-to-day supervisory and monitoring activities
• Act as Supervising Principal for AGF Investments
• Provide timely and practical advice and direction to senior management on all issues concerning US compliance policies, rules, regulations and procedures
• Develop and maintain strong relationships with senior management, centralized compliance team members, internal business partners and regulators
• Proactively collaborate with other departments as needed to ensure US compliance issues are addressed, investigated and resolved
• Collaborate and provide guidance to other AGF entities that have US business activitie