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Fiera Capital Corporation
Counselor, Global Regulatory ComplianceFiera Capital Corporation • Toronto
Counselor, Global Regulatory Compliance

Counselor, Global Regulatory Compliance

Fiera Capital Corporation • Toronto
21 days ago
Job type
  • Full-time
Job description

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 Head, Global Enterprise Risk Management Program and Canadian 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.
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Counselor, Global Regulatory Compliance • Toronto

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