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Senior Counselor, Compliance

October 22 2021
Industries Bank, Insurance, Financial services
Categories Accounting, Finance, 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:
Under the supervision of the Senior Director, Compliance, the Senior Counselor is responsible for determining and auditing regulatory controls. This person is also responsible for client due diligence reviews and questionnaires, and works with the team on other compliance programs to ensure that the company meets its regulatory obligations.

Your responsibilities:

  • Determine, document and assess the effectiveness of controls related to regulatory compliance obligations;
  • Work with people responsible for controls to support the continuous improvement and implementation of new controls as regulatory requirements evolve;
  • Respond to inquiries from clients and business partners, as well as and requests for due diligence related to the regulatory compliance framework;
  • Consolidate and maintain a database of information related to inquiries and requests that have been answered;
  • Maintain a working knowledge of compliance policies and procedures of the company and its affiliates around the world and stay up to date on requirements, industry best practices and any other relevant guidelines;
  • Identify improvements in the compliance manual and industry policies based on evolving regulatory requirements;
  • Participate in improving key processes;
  • Assist the team in monitoring employees’ personal transactions, enforcing the code of conduct, registrations, managing conflicts of interest and various other tasks and projects.

Must have requirements to be successful in this role:

  • Bachelor’s or master’s degree in a related discipline (accounting, finance, administration, etc.);
  • Canadian Securities Course (CSC) or any other course related to the securities or asset management industry;
  • Minimum of eight years of experience in the asset management industry;
  • Understanding of the regulatory framework and best practices in the industry (e.g., OSC, CFA Institute, etc.);
  • Solid knowledge of an asset manager’s internal controls;
  • Ability to work independently and interact effectively;
  • Organizational skills and proven ability to manage simultaneous priorities and meet deadlines;
  • Ability to exercise diligence, diplomacy and discretion with respect to confidential information;
  • Attention to detail;
  • Excellent oral and written communication skills in English. network