Counselor – Global Regulatory Compliance

Fiera Capital

Counselor executing Canadian client management compliance program including AML/ATF oversight and KYC processes at Fiera Capital. Collaborating with stakeholders to ensure regulatory compliance and training delivery.

Posted 7/4/2026full-timeToronto • 🇨🇦 CanadaMid-LevelSenior💰 CA$100,000 - CA$115,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance, internal controls, and testing methodologies within the investment management industry, while effectively collaborating with stakeholders and managing multiple priorities. Proficient in both French and English communication, ensuring accurate and timely responses to compliance-related matters.

Highest-signal resume keywords

Regulatory ComplianceClient Due DiligenceInternal ControlsKYC & SuitabilityCompliance Training

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ComplianceInternal ControlsTesting MethodologiesClient Due DiligenceKYCSurveillance ProgramsCompliance Manual UpdatesMarketing Collateral ReviewRegulatory Framework UnderstandingAsset Management Knowledge

Soft Skills

CollaborationOrganizational SkillsDiligenceDiscretionCommunication Skills

Industry Keywords

Investment ManagementSecurities IndustryAsset ManagementCompliance Best PracticesRegulatory Requests

About the role

Key responsibilities & impact

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

What you’ll need

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.

Benefits

Comp & perks

Your Inclusive Experience: We are committed to cultivating an inclusive, safe, and trusting work environment.
Your Growth & Empowerment: We have ambitious growth goals for our firm, which makes us a great place to advance your career.
Your Rewards & Recognition: We deeply value our people and their contributions and that’s reflected in our competitive compensation and benefits packages and our collaborative culture.
Your Wellness Your Way: We strive to create a healthy work environment and we offer programs designed to support our employees’ wellbeing.