Fiera Capital
Counselor in Compliance at Fiera Capital
Job Description
Elevate your compliance career at Fiera Capital as a Counselor in Global Regulatory Compliance. Your role focuses on AML/ATF oversight, KYC documentation, and ensuring regulatory alignment.
Reporting to the Head of Global Enterprise Risk Management, you will be instrumental in executing compliance programs for client management. This role requires your ability to conduct effective surveillance processes and collaborate with various teams for thorough responses to regulatory requests. You'll also deliver training initiatives to empower employees.
Key Responsibilities:
• Carry out testing of compliance obligations for client transactions
• Lead continuous improvement initiatives for compliance controls
• Conduct surveillance of KYC and suitability documentation
• Process client due diligence questionnaires for accuracy
• Review and align marketing materials with compliance standards
Requirements:
• Bachelor's degree in a finance-related discipline
• Five yea...
Reporting to the Head of Global Enterprise Risk Management, you will be instrumental in executing compliance programs for client management. This role requires your ability to conduct effective surveillance processes and collaborate with various teams for thorough responses to regulatory requests. You'll also deliver training initiatives to empower employees.
Key Responsibilities:
• Carry out testing of compliance obligations for client transactions
• Lead continuous improvement initiatives for compliance controls
• Conduct surveillance of KYC and suitability documentation
• Process client due diligence questionnaires for accuracy
• Review and align marketing materials with compliance standards
Requirements:
• Bachelor's degree in a finance-related discipline
• Five yea...