Investment Complaint jobs

Who We Are

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.

What we are looking for:

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.

Your responsibilities:

As part of their duties, the successful candidate will have the following 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.

Must have requirements to be successful in this role:

• 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.

Additional Information:

• Fiera Capital adheres to a hybrid working environment with 4 days in-office per week.
• The salary range for this position is $100,000 - $115,000. This salary range is for Ontario and may vary based on the candidate’s profile and experience.

#LI-Hybrid

What we offer:

At Fiera Capital, we believe in investing in our people. Here are some of the benefits you can enjoy:

• 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
  

For roles based in Quebec (Montreal and Laval), proficiency in spoken and written French is required. A working knowledge of English is also necessary to collaborate with our global teams and clients.

At Fiera Capital, we believe our people are our greatest strength. 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.

To protect your information, please note that Fiera Capital uses a secure platform to collect sensitive information during the hiring process.

We thank all applicants for their interest; however, only those selected for an interview will be contacted.