Counselor – Global Regulatory Compliance

At Fiera Capital

We invest in creating a culture of purpose that makes our people feel valued, cared for, seen, and heard. Our approach to employee experience is tailored to your needs and ambitions.

• Execute monitoring and testing of controls related to the regulatory compliance obligations for dealing with clients.
• Implement continuous improvement and remediation of identified control gaps.
• Perform surveillance processes related to client onboarding documentation, KYC, and suitability to identify deficiencies and impose administrative consequences for significant or recurring issues.
• Execute the client due diligence questionnaire process for compliance‑related matters to ensure responses are accurate, complete, and timely.
• Review and challenge 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.

• 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.

• Hybrid working environment: 4 days in‑office per week.
• Salary range: $100,000 – $115,000 (Ontario). This range may vary based on candidate profile and experience.

Fiera Capital subscribes to the principle of employment equity. Our staff is our most valuable asset, and our goal is to create an inclusive and equitable environment where everyone can achieve their true potential.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, colour, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, or on the 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.