Counselor, Global Regulatory Compliance

Fiera Capital • Montreal, QC

4d • CA$100,000 - CA$115,000 • Hybrid

About The Position

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.

Requirements

• 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.

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.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level