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About the Role

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.

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.

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.

Skills

AML/ATF oversight
KYC
Suitability
Client documentation oversight
Registrant training
Monitoring & testing
Client complaints
Client relationship disclosure
Regulatory requests
Surveillance activities
Internal controls
Testing methodologies
Collaboration
Independent work
Organizational skills
Priority management
Diligence
Diplomacy
Discretion
Communication skills

Location

Ontario

Work Type

Hybrid
4 days in-office per week

Experience Level

At least five years of experience

Education Level

Bachelor’s degree

Salary/Compensations

$100,000 - $115,000

Benefits

Wellness Account
Learning & Development support
Employee Share Purchase Plan (ESPP) with employer matching
Performance-Based Rewards
Telemedicine Access
Summer Schedule Program

About the Company

Fiera Capital is a global independent asset manager with an entrepreneurial culture and a clear vision: to deliver disciplined, high-conviction investment solutions that create lasting value for our clients.
From our Canadian roots to a global firm, we are defined by deep investment expertise, an ownership mindset, and enduring client partnerships.
Our actions are guided by our core values: we lead with integrity, think critically, act decisively, innovate with purpose, collaborate with intent, and adapt with agility.
We are committed to building a purpose-driven, performance-oriented culture where our employees are supported to grow, contribute, and excel.

Equal Opportunity

We are committed to fostering an inclusive and equitable workplace where everyone can grow, contribute, and reach their full potential.
We are proud to be an equal opportunity employer and welcome applications from candidates of all backgrounds.
We do not tolerate any form of discrimination or harassment.
All employment decisions, including hiring and promotions, are based on merit, skills, performance, and business needs.
Accommodations are available upon request throughout the recruitment process.