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
What we offer:At Fiera Capital, we believe in investing in our people. Here are some of the benefits you can enjoy:
- Wellness Account to support your physical, mental, and financial well-being.
- Learning & Development support through reimbursement of eligible certifications and professional development programs.
- Employee Share Purchase Plan (ESPP) with employer matching to help you build long-term financial value.
- Performance-Based Rewards through competitive bonus and commission opportunities.
- Telemedicine Access for convenient healthcare and mental health support.
- Summer Schedule Program offering additional flexibility, including reduced Friday hours during the summer month
For roles based in Quebec (Montreal and Laval), proficiency in spoken and written French is required. A working knowledge of English is also necessary to collaborate with our global teams and clients.
