Director of Compliance – Private Alternative Investments

October 20 2021
Industries Bank, Insurance, Financial services
Categories Accounting, Finance, Financing, Investment, Merger & Acquisition, Forensic accounting, Fraud
Toronto, ON

With approximately CAD 179.5 billion in assets under management as of June 30 2021, Fiera Capital, an independent firm, is one of Canada’s leading investment managers. We deliver customized multi-asset solutions across public and private market asset classes to institutional, financial intermediary and private wealth clients across North America, Europe and key markets in Asia. We strive to be at the forefront of investment-management science, and we are passionate about creating sustainable wealth for clients. Fiera Capital is recognized for our talented people. Our teams collaborate and seek to draw on the global industry’s most innovative and diverse offerings to craft strategies that meet the needs of any client, anywhere they are located.

Why join Fiera Capital:

• Inclusive workplace and diverse background of employees
• Growth and development opportunities
• Entrepreneurial industry-leading company with a purposeful mission
• Flexible work arrangements, competitive compensation and benefits
• Collaborative approach, innovative and culture of integrity
• Ambitious organization who strives for excellence

What we are looking for:

Reporting to the Head of Compliance - Canada, the Director of Compliance – Private Alternative Investments will be responsible for enhancing and executing a global compliance framework for Fiera Private Alternative Investments. Partnering with Fiera Capital’s broader global compliance and legal teams, the successful candidate will support multiple alternative investment teams to ensure that they meet compliance and conduct obligations, industry practices and client expectations.

Your responsibilities:

  • Lead or support projects, including implementation, related to global and/or regional strategic initiatives and priorities;
  • Draft, review and/or implement policies, procedures and processes to help ensure compliance with applicable regulatory requirements and industry practices, including registration requirements in connection with fund formation and capital raising activities;
  • Implement compliance programs/control frameworks relevant to compliance and conduct risks and requirements pertaining to alternative investments, including with respect to personal account dealing, trading restrictions, anti-money laundering & anti-terrorism screening and risk assessment, KYC, conduct management, conflicts of interest, reporting obligations, fund-level documentation, approval and document execution practices, material non-public information, and external communication such as marketing materials, websites, press releases and investor reporting;
  • Develop and/or execute periodic testing and oversight of investment team activities;
  • Assist with the preparation and delivery of compliance training and education programs;
  • Partner with global legal and compliance colleagues, businesses, and other control functions to understand opportunities and create solutions to appropriately navigate potential and actual risks;
  • Prepare and present management information reporting;
  • Provide timely responses to inquiries and requests from clients and business partners.

Must have requirements to be successful in this role:

  • Bachelor’s or master’s degree in a related discipline (accounting, legal, finance, administration, etc.);
  • Related securities and asset management industry courses;
  • Minimum eight years of applicable asset management compliance, consulting or regulatory experience;
  • Demonstrable track record of supporting compliance frameworks related to alternative asset class investing with proficient understanding of one or more of the following asset classes: real estate, infrastructure, private debt, private equity and agriculture;
  • Prior experience drafting and implementing compliance policies and procedures;
  • Organizational skills and proven ability to manage simultaneous priorities and meet deadlines;
  • Ability to build strong working relationships with peers, colleagues and with remote based teams with individuals at all levels of the organization;
  • Team player with a positive outlook and flexibility to fluidly handle change;
  • Ability to focus on details without losing sight of bigger picture strategy;
  • Strong desire to be part of a, fast-paced, growing organization;
  • Excellent oral and written communication skills in English.


Apply now! network