Senior Counselor, Portfolio and Trading Compliance
Fiera Capital
Toronto, ON
1d ago

With over 172,9 billion in assets under management as of March 31 2021, Fiera Capital, an independent firm, is one of Canada’s leading investment managers.

We deliver customized multi-asset solutions across public and private market asset classes to institutional, financial intermediary and private wealth clients across North America, Europe and key markets in Asia.

We strive to be at the forefront of investment-management science, and we are passionate about creating sustainable wealth for clients.

Fiera Capital is recognized for our talented people. Our teams collaborate and seek to draw on the global industry’s most innovative and diverse offerings to craft strategies that meet the needs of any client, anywhere they are located.

Why join Fiera Capital :

  • Inclusive workplace and diverse background of employees
  • Growth and development opportunities
  • Entrepreneurial industry-leading company with a purposeful mission
  • Flexible work arrangements, competitive compensation and benefits
  • Collaborative approach, innovative and culture of integrity
  • Ambitious organization who strives for excellence
  • What we are looking for :

    Under the supervision of the Supervisor, Portfolio and Trading Compliance, the Senior Counsellor ensures that the Compliance Department’s daily operations are running smoothly.

    The Counsellor’s duties consist of monitoring compliance with investment policies, updating client files and market data in the monitoring systems, answering ad hoc questions from portfolio managers and account managers, performing compliance tests, enforcing regulations, and preparing regulatory filings.

    The Counsellor works in a confidential environment.

    Your responsibilities :

    As part of your duties, you will be assigned the following responsibilities :

  • Regularly track clients’ investment constraints and regulatory constraints using computer systems, manual checks and other applications;
  • Communicate with portfolio management teams about incidents identified in the portfolio compliance monitoring systems and follow up to ensure resolution;
  • Answer questions related to portfolio compliance from portfolio managers;
  • Actively participate in the integration of new accounts into the portfolio compliance monitoring system (programming of constraints from investment policies);
  • Review non-finalized investment policies and provide account managers with comments on our ability to monitor constraints with our existing tools and, as required, suggest changes to investment policies;
  • Maintain systems and update market data on a daily basis;
  • Participate in and review various controls (both manual and automated);
  • Carry out regular tasks as scheduled;
  • Prepare monthly and quarterly client or service provider compliance reports, and answer ad hoc enquiries from clients;
  • Produce and submit on a periodic basis the regulatory compliance certificates and filings required by regulators, government and financial institutions;
  • Document departmental procedures and update them to reflect regulatory or operational changes;
  • Participate in the creation and implementation process of specific parallel controls required when current compliance verification systems cannot be properly used;
  • Submit recommendations for improving work tools and processes, and actively participate in updating and implementing controls used by compliance;
  • Actively participate in special projects, specifically the integration of new accounts into the portfolio compliance monitoring system;
  • Provide assistance to the Manager on any projects requiring his or her involvement.
  • Must have requirements to be successful in this role :

  • University degree in finance or a related field;
  • Professional designation (CFA), or master’s degree, earned or in progress is a major asset;
  • Minimum of 5-7 years of relevant experience in the securities field or investment compliance;
  • Thorough knowledge of the Windows environment, particularly Excel;
  • Familiarity with SS&C, Fidessa Sentinel, Bloomberg (or similar systems, e.g. Charles River, Archer) is a strong asset;
  • Familiarity with various Investment Funds regulation(s) (NI81-102, 1940Act, UCITS) is a strong asset;
  • Previous exposure to insider filings and global shareholder regulations is an asset;
  • Ability to manage multiple files and to work independently, attention to detail and team spirit.
  • The use of masculine is for the sole purpose of lightening the text and refers to both women and men.

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

    Fiera Capital will not tolerate any form of discrimination or harassment. All staffing decisions, including hiring and promotion decisions, will be based on merit, skills, performance and business needs.

    We are pleased to receive applications from qualified individuals from a variety of backgrounds. Job applicants who are individually selected for an interview will be notified that accommodations are available upon request.

    If a selected participant requests accommodation, Fiera Capital shall consult with the applicant and provide, or arrange for the provision of, a suitable accommodation in a manner that takes into account the applicant’s accessibility needs due to disability.

    We thank all applicants for their interest in a career with Fiera Capital. We will only communicate with those selected for an interview.

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