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Counselor, Portfolio and Trading Compliance
2 weeks ago
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:
- 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.
What we are looking for:
Under the supervision of the Head of Compliance, Canada, the Counselor, Portfolio and Trading Compliance is responsible for executing assigned tasks in the investment monitoring of the various mandates entrusted to Fiera Capital.
Your responsibilities:
As part of your responsibilities, you will be assigned the following duties:
- Execute day-to-day activities of the portfolio and trading compliance team adhering to established timelines;
- Responsible for pre- and post-trade compliance across portfolios to ensure adherence to regulatory and client-mandated investment guidelines. (knowledge of Fidessa Sentinel or Charles River system an asset);
- Support the team with regulatory reporting required by various regulatory authorities and committies(e.g. insider reporting);
- Implement controls required to manage and monitor compliance with regulatory requirements;
- Document procedures and ensure updates when regulatory or operational changes occur;
- Collaborate with Legal, Portfolio Management, Trading, Operations, and Risk teams to ensure alignment on compliance matters.
- Produce compliance reporting for clients, portfolio managers, account managers and the Chief Investment Office;
- Prepare responses to ad hoc questionnaires submitted by clients, auditors and regulatory authorities;
- Participate and lead various special projects (e.g. system upgrades, process/control improvements) relating to portfolio and trading compliance.
- Develop and maintain advanced Excel tools and macros to automate compliance checks, enhance reporting efficiency, and streamline daily monitoring workflows.
- Stay current on regulatory changes and industry best practices.
Must have requirements to be successful in this role
:
- Bachelor's degree in finance or relevant equivalent;
- Professional title an asset (CFA, CPA, FRM).
- Minimum of 5-7 years of relevant experience in Compliance in the portfolio management or securities industry;
- Knowledge of legislation and regulations relating to investments and securities;
- Knowledge of operational aspects of a portfolio management firm is an asset;
- Team spirit, dynamism, initiative, diplomacy and flexibility;
- Able to meet challenges and work under pressure;
- Rigor and professionalism;
- Ability to deal with sensitive and privileged information;
- Advanced knowledge of Microsoft Word, Excel, PowerPoint and Outlook.
- Excellent English (spoken and written), French is an asset.
Additional Information:
- Fiera Capital adheres to a hybrid working environment with 4 days in-office per week.
For all positions in Quebec (Montreal and Laval), proficiency in French, both spoken and written, is mandatory. Working English proficiency is also required in order to serve our offices and clients around the world.
Fiera Capital subscribes to the principle of employment equity. Our staff is our most valuable asset, and our goal is to create an inclusive and equitable environment where everyone can achieve their true potential.
We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, colour, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, or on the basis of disability, genetic information or any other federal, state, or local protected class. 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, suitable accommodation in a manner that considers the applicant's accessibility needs due to disability.
Please stay vigilant and never share personal or confidential information during this hiring process, unless it is through Mintz Global Screening, the secure platform we use to exchange such information. If in doubt, or if you think you have been a victim of fraudulent manoeuvres during your hiring process, please contact us.
Please note that job titles indicated in job postings may differ from internal job titles. Accordingly, offers of employment may not reflect job titles indicated in job postings.
We thank all applicants for their interest in a career with Fiera Capital. We will only contact those selected for an interview.
