Counselor, Global Regulatory Compliance

At Fiera Capital

We invest in creating a culture of purpose that makes our people feel valued, cared for, seen, and heard. Our approach to employee experience is tailored to your needs and ambitions:

• Your Inclusive Experience: We are committed to cultivating an inclusive, safe, and trusting work environment.
• Your Growth & Empowerment: We have ambitious growth goals for our firm, which makes us a great place to advance your career.
• Your Rewards & Recognition: We deeply value our people and their contributions and that’s reflected in our competitive compensation and benefits packages and our collaborative culture.
• Your Wellness Your Way: We strive to create a healthy work environment and we offer programs designed to support our employees’ wellbeing.

What we are looking for:

Under the supervision of the Manager, Global Regulatory Compliance, the Counsellor, Global Regulatory Compliance executes the Canadian client management compliance program, including AML/ATF oversight, screening & training, KYC, suitability & documentation oversight, and associated registrant training, monitoring & testing of client documentation, client complaints, client relationship disclosure information, requests from regulators and various surveillance activities, to ensure that the company honours its regulatory obligations.

Your responsibilities:

As part of their duties, the successful candidate will have the following responsibilities:

• Execute monitoring & testing of controls related to the regulatory compliance obligations for dealing with clients.
• Implement continuous improvement and remediation of identified control gaps.
• Perform surveillance process related to client onboarding documentation, KYC & suitability to ensure that deficiencies are identified, including levying administrative consequences for significant/recurring issues.
• Execute the client due diligence questionnaire process for compliance-related matters to ensure responses are accurate, complete and timely.
• Complete the review and challenge of Canadian marketing collateral and social media posts to ensure alignment with internal policies and regulatory expectations. 
• Participate in regulatory requests and examinations, working effectively with stakeholders to ensure responses are accurate, complete and timely.
• Assist with the creation and delivery of compliance-related employee training.
• Perform various surveillance programs including sub-advisor due diligence, electronic communications and broker-related initiatives.
• Collaborate in updating the compliance manual and related policies.

Must have requirements to be successful in this role:

• Bachelor’s degree in a relevant discipline (finance, business administration, accounting, etc.);
• Course work related to the securities or asset management industry;
• At least five years of experience in a regulatory compliance (or similar) role, preferably in the investment management industry;
• Knowledge of internal controls and testing methodologies and best practices pertaining to asset managers;
• Ability to collaborate effectively with internal stakeholders, including business partners and senior management;
• Understanding of the compliance and regulatory framework and industry best practices;
• Ability to work independently and interact effectively with others;
• Strong organizational skills and demonstrated ability to manage simultaneous priorities;
• Ability to exercise diligence, diplomacy and discretion when dealing with confidential information;
• Excellent oral and written communication skills in French and English.

Additional Information:

• Fiera Capital adheres to a hybrid working environment with 4 days in-office per week.
• The salary range for this position is $100,000 - $115,000. This salary range is for Ontario and may vary based on the candidate’s profile and experience.

#LI-Hybrid

For all positions in Quebec (Montreal and Laval), proficiency in French, both spoken and written, is mandatory. Working English proficiency is also required in order to serve our offices and clients around the world. 

Fiera Capital subscribes to the principle of employment equity. Our staff is our most valuable asset, and our goal is to create an inclusive and equitable environment where everyone can achieve their true potential.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, colour, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, or on the basis of disability, genetic information or any other federal, state, or local protected class. Fiera Capital will not tolerate any form of discrimination or harassment.

All staffing decisions, including hiring and promotion decisions, will be based on merit, skills, performance, and business needs. We are pleased to receive applications from qualified individuals from a variety of backgrounds. Job applicants who are individually selected for an interview will be notified that accommodations are available upon request. If a selected participant requests accommodation, Fiera Capital shall consult with the applicant and provide, or arrange for the provision of, suitable accommodation in a manner that considers the applicant’s accessibility needs due to disability.

Please stay vigilant and never share personal or confidential information during this hiring process, unless it is through Mintz Global Screening, the secure platform we use to exchange such information. If in doubt, or if you think you have been a victim of fraudulent manoeuvres during your hiring process, please contact us.

Please note that job titles indicated in job postings may differ from internal job titles. Accordingly, offers of employment may not reflect job titles indicated in job postings.

We thank all applicants for their interest in a career with Fiera Capital. We will only contact those selected for an interview.