Auditor Agent

May 03, 2019

Under the authority of his immediate superior, the holder carries out mandates for the granting of prospectus visas and amendments to investment fund prospectuses (this includes mutual funds and non-redeemable investment funds, scholarship plans and development capital funds), and requests for waivers and extensions of time. It acts as the main contributor for certain files for which it is entirely accountable for the examinations and the resulting recommendations. He also acts as a contributing agent for certain mandates, for which he has full responsibility for the part of the mandate entrusted to him.

As part of the remote monitoring program for investment funds, the incumbent conducts reviews as a principal contributor or as a contributing agent.

The incumbent also conducts some monitoring of investment funds and updates information in the issuer database.

The Holder may perform certain work relating to investment returns filed by investment funds under Regulation 45-106 respecting Prospectus Exemptions and Securities Filings Filed under the Securities Regulations. including the verification of the calculation of the duties payable on securities placed in Québec.

As part of these activities, the incumbent documents any discrepancies found and prepares letters of observation to advise investment fund representatives of any significant deficiencies or deficiencies.

The incumbent responds to various questions from internal and external stakeholders related to his activities.

The holder also takes responsibility for several official acts of the Authority, including issuing visas and decisions. In this respect, he must demonstrate great professionalism and thoroughness in a context where deadlines are tight.

The incumbent is also required to participate in projects involving the Investment Funds Branch (eg, coming into force of amendments to a regulation).

The incumbent could also review the changes and propose changes to the AMF systems, assess their situation and impacts, and test the proposed changes before they go into production.

The majority of mandates handled by the holder therefore refer to legal and regulatory provisions mainly related to visa issuance warrants, prospectus exemptions, supervision of investment funds and rights. The essence of these communications is to inform and assist representatives by explaining to them the regulatory requirements that apply to their records in order to obtain the information, required modifications and / or fees due to the Authority.

Through the mandates and tasks assigned to it, the incumbent is in regular communication with investment funds or their representatives (investment fund managers, lawyers, auditors), securities analysts or audit agents other members of the Canadian Securities Administrators (CSA) and analysts or agents of the AMF. These communications are verbal and written, in both English and French.

Requirements and Qualifications

  • Hold a Diploma of College Studies (DEC) in Legal Techniques or Administrative Techniques, Finance Option, or Judging Trainingequivalent
  • Have a minimum of 4 years of relevant experience in the financial industry;
  • Have a good knowledge of the operation of the investment fund industry;
  • Have a good knowledge of the securities legislation applicable to investment funds and its evolution (the Securities Act, the Securities Regulations and the General Regulations and Instructions);
  • Have a good knowledge of the CSA's guiding principles and CSA, AMF and Investment Fund Management;
  • Good knowledge of law, finance and accounting;
  • Have a very good knowledge of the French language and a good knowledge of the English language, both orally and in writing;
  • Have a thorough knowledge of the various software and systems used (Microsoft suite, A / S 400, BDNI, SEDAR, SEDI, SOQUIJ, etc.).

Professional Skills

  • Ability to handle a heavy workload and often under pressure;
  • Ability to perform various tasks and take positions according to the type of mandate;
  • Good spirit of analysis and judgment;
  • Sense of responsibility and planning, and great autonomy;
  • Ability to work collaboratively with other AMF representatives as well as representatives of Canadian regulators and external clients (investment funds or their representatives, investment fund managers, etc.)
  • Ability to adapt to change, agility to adjust to changing work methods and offer practical solutions;
  • Patience, method and empathy.
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