Senior Counselor, Compliance

September 14 2021
Industries Bank, Insurance, Financial services
Categories Accounting, Finance, Forensic accounting, Fraud
Montreal, QC

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., AMF, 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; French proficiency is an asset.

The use of masculine is for the sole purpose of lightening the text and refers to both women and men.

Fiera Capital subscribes to the principle of employment equity. Our staff are our most valuable asset and our goal is to create an inclusive and equitable environment where everyone can reach their true potential.
We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of 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 are pleased to receive applications from qualified individuals from a variety of backgrounds. Job applicants who are individually selected for an interview will be notified that accommodations are available upon request. If a selected participant requests accommodation, Fiera Capital shall consult with the applicant and provide, or arrange for the provision of, a suitable accommodation in a manner that takes into account the applicant’s accessibility needs due to disability.

We thank all applicants for their interest in a career with Fiera Capital. We will only communicate with those selected for an interview.

Apply now!

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