Governance and compliance system
· Lead the oversight and supervision of iAGAM’s compliance function.
· Establish, maintain and evolve compliance-related policies and procedures.
· Provide appropriate reporting to governance bodies and escalate compliance matters when required.
· Promptly inform the Ultimate Designated Person (UDP) of any significant compliance matter and provide the information required for the UDP to discharge their regulatory responsibilities.
· Align the function with iA Financial Group frameworks, standards and reporting mechanisms, while reflecting the specific requirements of a portfolio manager, exempt market dealer and investment fund manager.
· Periodically assess the effectiveness of the compliance system, produce required regulatory reports and maintain direct access to the Ultimate Designated Person (UDP), the Board of Directors and relevant governance bodies.
· Promote a robust compliance culture that is embedded in investment activities and aligned with regulatory expectations.
Compliance team leadership
· Oversee recruitment, development and performance management for members of the team.
· Engage and develop employees to achieve established objectives.
· Prioritize initiatives, allocate resources and ensure continuity of key compliance activities.
· Plan for and secure the resources, expertise and technology capabilities required to deliver the function’s mandate effectively.
· Structure the function to support organizational growth and deepen critical expertise.
Portfolio oversight and investment compliance
· Ensure that portfolios comply with applicable regulation, investment policies and mandate-specific constraints.
· Oversee the evolution of monitoring mechanisms, including the coding and maintenance of investment constraints.
· Strengthen tools, controls and indicators used to monitor complex investment strategies and constraints.
· Identify and implement corrective actions and enhancements required to strengthen the oversight program.
Regulatory compliance and advisory support to business lines
· Keep current with industry leading practices in compliance and oversight.
· Work collaboratively with portfolio management, trading, operations, risk, technology and governance functions.
· Work closely with iAGAM’s Legal Services team to ensure complementary legal and compliance perspectives, continuously clarify respective responsibilities, coordinate the handling of matters and advise business lines on the interpretation and impact of legislative and regulatory changes, as well as the measures required to comply with them.
· Support investment teams in developing pragmatic solutions that balance business objectives, the regulatory framework and risk appetite.
· Maintain strong relationships with business lines to promote a collaborative and effective approach to compliance.
Operational risk, controls and continuous improvement
· Oversee the effectiveness of compliance processes, controls, frameworks and policies.
· Define and monitor key performance, risk and control indicators for the function.
· Contribute to operational effectiveness, strong controls and the prevention of recurring issues.
· Guide the evolution of technology tools, data and digital solutions that support monitoring, controls and compliance activities.