Counselor, Global Regulatory Compliance

Fiera Capital•Montreal, QC

2d•Hybrid

About The Position

Under the supervision of the Head, Global Enterprise Risk Management Program and Canadian 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.