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, focusing on:

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

Responsibilities

• Execute monitoring & testing of controls related to regulatory compliance obligations for dealing with clients.
• Implement continuous improvement and remediation of identified control gaps.
• Perform surveillance related to client onboarding documentation, KYC & suitability to identify deficiencies, including levying administrative consequences for significant or recurring issues.
• Execute the client due diligence questionnaire process for compliance-related matters to ensure responses are accurate, complete, and timely.
• Review and challenge 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.

Qualifications

• Bachelor’s degree in a relevant discipline (finance, business administration, accounting, etc.).
• Coursework 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 operates a hybrid work model with 4 days per week in the office.
• Salary range: $100,000 - $115,000 (Ontario; may vary based on candidate profile and experience).
• For positions in Quebec (Montreal and Laval), proficiency in French, both spoken and written, is mandatory; English proficiency is also required.
• #LI-Hybrid

Equal Opportunity & Accessibility Statement

Fiera Capital subscribes to the principle of employment equity. 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, 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 welcome qualified individuals from a variety of backgrounds. Accommodations are available upon request; applicants consenting to an interview will be notified of accommodations. Please do not share personal or confidential information during this hiring process unless it is through the approved secure platform.

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