Senior Manager, Investment Compliance

CLOSING DATE : July 10, 2024

July 10, 2024

Opportunity

We are thrilled to present a pivotal opportunity within our organization - the Senior Compliance Manager role. This role is at the core of AIMCo's operations, shaping policy, streamlining processes, and ensuring steadfast adherence to both Investment and Regulatory compliance, including trade surveillance.

The Senior Compliance Manager ensures we are always in sync with all relevant laws, regulations, guidelines, and policies applicable to AIMCo's operations.

This role is a pillar in protecting AIMCo from reputational risks, thereby safeguarding our functionality within our regulatory and internal controls environment.

The responsibilities of this dynamic role include overseeing that client Investment Management Agreement, Investment Policy, AIMCo pool and strategy products, as well as applicable regulations, are consistently adhered to.

The role is also entrusted with mentoring team members and executing on the Compliance strategy.

At AIMCo, the Senior Compliance Manager is more than just a position. It is a role that fortifies our sustainable business practices by ensuring strict compliance with laws and regulations.

This, in turn, reinforces AIMCo's integrity and reputation in the marketplace.

Moreover, this role plays a critical part in fostering a culture of compliance within AIMCo, making it an exciting role for those passionate about contributing to an organization's success while upholding its ethical standards.

Thank you for considering this exciting opportunity. We look forward to hearing from you.

Responsibilities :

In this role, you'll be the cornerstone of ensuring that AIMCo is always in line with all applicable laws, regulations, guidelines, and policies.

Your day-to-day tasks will range from overseeing investment compliance, regulatory compliance, and trade surveillance, to monitoring the efficiency of our compliance systems and reporting any identified issues or risks to our Director of Compliance.

As a Senior Compliance Manager, you'll also guide the analysis, testing, and review of trading compliance reports, providing oversight of the Order Management Systems trade compliance functions, and bringing any issues to a resolution

Risk management is a crucial part of this role. You'll conduct periodic risk assessments on investment compliance, identify gaps, and work with the business to develop and implement action plans.

Essentially, you'll play a key role in identifying, evaluating, and mitigating any risks that could interfere with AIMCo's operations.

But this role is not all about compliance and risk. It's about mentorship and leadership. You'll have the opportunity to coach and mentor your team, develop and deliver training sessions on investment, regulatory, and trade surveillance matters, and foster a culture of compliance throughout the organization.

Staying updated is key in this role. You'll keep abreast of investment and regulatory developments and industry best practices, participate in the development and implementation of AIMCo policies and procedures, and evolve our compliance control to match best practices.

You'll represent the Compliance Department at senior-level meetings and committees, providing clarity on compliance requirements as needed.

You'll also draft reports for Compliance Management regarding matters impacting investment compliance.

NOTE : Role will close at 11 : 59 pm MST on July 9th

If you're passionate about ensuring a company's success while upholding its ethical standards, this role is for you. AIMCo is excited to welcome a new Senior Compliance Manager to our team.

Join us in shaping the future of AIMCo. We can't wait to hear from you.

Our Ideal Candidate Qualifications :

• Bachelor's degree in business, finance, or another related field
• Graduate degree MBA or MSC advantageous
• Successful completion of a CFA advantageous
• Python, SQL, VBA, PowerBI, advanced excel, word and PowerPoint.
• Minimum of 7-10 years of experience in investment compliance, trade surveillance and regulatory compliance, with experience within a financial institution, audit, risk management or investment management.
• Superior understanding of financial markets, institutional asset management, investment regulations and best practices relating to internal controls and procedures
• Various Canadian and foreign securities regulations
• Knowledge of Various Canadian and foreign securities regulations
• Knowledge of Trading guidelines and policies
• Experience in Order Management Systems - Charles River and Calypso
• Knowledge of Client Investment Management Agreements, Investment Policies and
• Financial knowledge e.g., OTC derivatives
• Demonstrates a strong commitment to AIMCo's core values of excellence, transparency, humility, integrity, and collaboration, and inspiring the same in others.

NOTE : This role will close at 11 : 59 MST July 9th

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.