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.

Responsibilities

• 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...