Talent.com
Fiera Capital Corporation
Conseiller(-ère), Conformité réglementaire mondialeFiera Capital Corporation • Toronto
No longer accepting applications
Conseiller(-ère), Conformité réglementaire mondiale

Conseiller(-ère), Conformité réglementaire mondiale

Fiera Capital Corporation • Toronto
30+ 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.
Create a job alert for this search

Conseiller(-ère), Conformité réglementaire mondiale • Toronto

Similar jobs

Conseiller(ère) en architecture logicielle géomatique senior

TEHORA inc.Toronto, ON, CA
Full-time

TEHORA est présentement à la recherche d'.La personne retenue participera à la définition des orientations technologiques, à l'évolution des plateformes géomatiques et à l'intégration des solutions... Show more

 • Promoted

Senior Policy Advisor / Conseiller principal en politiques; conseillère principale en politiques

First Nations Jobs OnlineToronto, ON, CA
Full-time

Are you an innovative individual who is looking to advance reconciliation and improve health outcomes in Indigenous communities?.Join the Indigenous Relationships & Health Policy Unit of the Minist... Show more

 • Promoted

Conseiller(ère) principal(e), Relations gouvernementales & autochtones

VIA Rail CanadaToronto, ON, CA
Full-time

Saviez-vous que VIA Rail a d’ambitieux projets de modernisation de ses services et de ses infrastructures? Qu'il s'agisse de notre nouvelle flotte de trains ultramodernes, ou de nos projets d'améli... Show more

 • Promoted

Conseiller.ère senior.e, Prévisions de la charge et Conseil en énergie

BBA ConsultantsToronto, ON, CA
Full-time

Votre futur rôle au sein de notre équipe.BBA est une société nationale de génie-conseil et de services multidisciplinaires, détenue par ses employé.Canada ainsi qu’aux États-Unis et à l’étranger.No... Show more

 • Promoted

Conseiller(ère) principal(e), acquisition de talents-FR

Fairstone BankToronto, ON, CA
Full-time +1

La Banque Fairstone et sa famille de marques sont unies pour offrir des solutions financières novatrices, accessibles et fiables qui permettent aux Canadiens et aux Canadiens d’atteindre leurs obje... Show more

 • Promoted

Lead Resilience R&D Partnerships, Canada

Initial Therapeutics, Inc.Toronto, ON, CA
Temporary

This role will lead Moderna’s R&D collaboration strategy in Canada, shaping and expanding the company’s footprint within the national life sciences ecosystem.The lead will define and execute a clea... Show more

 • Promoted

Conseiller(ère) en Affaires Institutionnelles - Stratégie

Table de concertation régionale de la MontérégieToronto, ON, CA
Full-time

Une organisation régionale de développement recherche un(e) Conseiller(ère) aux affaires institutionnelles pour soutenir ses relations avec les instances politiques.Vous serez responsable de l'anal... Show more

 • Promoted

Conseiller en Réglementation des Investissements

CIRO / OCRIToronto, ON, CA
Full-time

Embarquez avec l'Organisme canadien de réglementation des investissements (OCRI) comme conseiller en réglementation, en vous impliquant activement dans l'élaboration de normes pour assurer la prote... Show more

 • Promoted

Conseiller(-ère), Conformité réglementaire mondiale

Fiera CapitalToronto, Ontario, Canada
Full-time

Procéder au suivi et à l’essai des mécanismes de contrôle relatifs aux obligations de conformité réglementaire régissant les relations avec la clientèle.Mettre en œuvre des initiatives d’améliorati... Show more

 • Promoted

Conseiller ou conseillère aux politiques réglementaires

CIRO / OCRIToronto, ON, CA
Full-time +1

Titre du poste : Conseiller ou conseillère aux politiques réglementaires.Service : Politique de réglementation des membres.Type d’emploi : Emploi permanent à temps plein (hybride).Relevant de la di... Show more

 • Promoted

Actuaire-conseil – Leadership en Retraite et Innovation

GallagherToronto, ON, CA
Full-time

Rejoignez-nous en tant qu'actuaire-conseil et inspirez le respect à travers votre leadership.Développez des solutions en retraite tout en renforçant la notoriété sur le marché dans un environnement... Show more

 • Promoted

Conseiller.ère junior.e, Analyse des actifs

BBA ConsultantsToronto, ON, CA
Full-time

An Overview Of Your Future Role.BBA is a leading North American consulting firm that provides a broad range of services, including engineering and design, digital power systems, in-field testing, a... Show more

 • Promoted

Technology Ecosystem & Academic Relations Lead

Huawei Canadamarkham, on, Canada
Temporary

Huawei Canada has an immediate 12-month contract opening for a Technology Ecosystem & Academic Relations Lead.The Technology Planning and Cooperation Department promotes strategic innovation across... Show more

 • Promoted

Gestionnaire, commerce international / Manager, Global Trade

Pratt & WhitneyToronto, ON, CA
Full-time

CA-QC-LONGUEUIL-AY ~ 1000 Blvd Marie-Victorin ~ AY BLDG.Gestionnaire, commerce international (à distance).À propos de Pratt & Whitney Canada.Pratt & Whitney Canada (P&WC) est un leader mondial de l... Show more

 • Promoted

Associé(e) régional(e) des ventes bilingue, Placements et assurances

Empire VieToronto, ON, CA
Full-time

Associé(e) régional(e) des ventes bilingue, Placements et assurances.Associé(e) régional(e) des ventes bilingue, Placements et assurances.Lieu : à distance, au Canada (heures occidentales).La fourc... Show more

 • Promoted

Vice-président, fig, marchés de crédit mondiaux

Banque Nationaletoronto, on, Canada
Full-time

Une carrière à titre de Vice-président(e) au sein du Groupe des institutions financières (« FIG ») et Financement de fonds, Marchés mondiaux du crédit, à la Banque Nationale du Canada Marchés des C... Show more

 • Promoted

Senior Program Advisor: Transformation & Indigenous Lead

Wawatay Native Communications SocietyToronto, ON, CA
Full-time

Une organisation communautaire à Toronto recherche un Conseiller principal en programmes pour diriger des projets stratégiques en transformation organisationnelle.Le candidat idéal aura une solide ... Show more

 • Promoted

Senior Advisor, External Relations

Northwest Employment WorksToronto, ON, CA
Full-time

Nuclear Waste Management Organization (NWMO).Canada’s intermediate- and high-level radioactive waste, in a manner that protects people and the environment for generations to come.Indigenous Knowled... Show more

 • Promoted

Conseiller.ère aux affaires institutionnelles

Table de concertation régionale de la MontérégieToronto, ON, CA
Permanent

À propos de la Table de concertation régionale de la Montérégie.La Table de concertation régionale de la Montérégie (TCRM) rassemble et mobilise les acteurs institutionnels, politiques et socio-éco... Show more

 • Promoted

Conseiller(ère) principal(e) en gestion du changement (Indemnisation, OPL)

Intact Financial CorporationToronto, ON, CA
Full-time

Nos équipes sont au coeur de tout ce que nous faisons.Ensemble, nous aidons les gens, les entreprises et la société à aller de l’avant dans les bons moments et à être résilients dans les moments di... Show more