Senior Analyst, Compliance Job in Montreal for Fiera Capital |

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Senior Analyst, Compliance

October 13 2021
Industries Bank, Insurance, Financial services
Categories Accounting, Finance, Forensic accounting, Fraud
Montreal, QC

With approximately CAD 179.5 billion in assets under management as of June 30 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 Senior Director of Compliance, the Senior Analyst, Compliance participates in identifying and auditing regulatory controls, collaborating on requests concerning the compliance control framework and various compliance programs, to ensure that the company honours its regulatory obligations.

Your responsibilities:

As part of their duties, the successful candidate will have the following responsibilities:

  • Participate in identifying, managing and documenting controls related to regulatory compliance obligations.
  • Participate in testing the structure and evaluate the effectiveness of new and modified controls with the control officers.
  • Work with control officers to support the continuous improvement and implementation of new controls as regulatory requirements evolve.
  • Respond to requests from clients and business partners, as well as requests for due diligence related to the regulatory compliance control framework.
  • Maintain a working knowledge of the compliance regulations, policies and procedures of the company and its affiliates, and stay current with best practices in the industry.
  • Collaborate in updating the compliance manual and related policies.
  • Assist the team with monitoring personal transactions of employees and applying the code of conduct; manage registrations and conflicts of interest, as well as various tasks and projects.

Must have requirements to be successful in this role:

  • Bachelor’s degree in a relevant discipline (finance, business administration, accounting, etc.);
  • Certified Internal Auditor (CIA) designation is an asset;
  • At least three to five years of experience in compliance related to controls or internal auditing;
  • Knowledge of the investment management industry;
  • Understanding of the regulatory framework and industry best practices;
  • Knowledge of internal controls pertaining to asset managers;
  • 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 English; French proficiency is an asset.