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Job Details

Senior Compliance Officer
  • Job ID#: 480
  • Location: New York, NY
  • Schedule: Full-time
  • Employment Type: Permanent


With close to 750 employees, Fiera Capital Corporation, a leading independent asset management firm, is rapidly acquiring a global presences and reputation. With over $124 billion in AUM as of September 30, 2019, more than $25 billion of which is managed or advised by the U.S. division. We deliver customized multi-asset solutions across traditional and alternative asset classes to institutional, retail, and private wealth clients across North America, Europe, and key markets in Asia.

Headquartered in Montreal, Fiera Capital also has offices in Toronto, Calgary, Vancouver and Halifax, as well as New York, Boston, Los Angeles and Dayton (Ohio) in the United States, London in the United Kingdom, Isle of Man and Frankfurt, Germany.

Fiera Capital trades under the ticker FSZ on the Toronto Stock Exchange.

POSITION SUMMARY
:

Reporting directly to the Chief Compliance Officer, the Senior Compliance Officer will have direct involvement in the development of Fiera’s compliance group and the implementation of the compliance framework necessary to support the organization’s growth. 

KEY RESPONSIBILITIES

  • Assist in the administration of the Firm’s Code of Ethics via the Firm’s automated monitoring system
  • Development and administration of Compliance Testing
  • Assist in the creation and administration of the Firm’s compliance training program using the Firm’s e-learning system
  • Assist in various regulatory filings (Form ADV, FORM PF, 13H and 13F)
  • Assist with updating the Firm’s Compliance Manual
  • Assist in the completion of quarterly and annual certifications, DDQ’s, RFPs and attestations
  • Maintain the Compliance Calendar
  • Assist in all compliance aspects related ot the Firm's mutual fun series trust

EDUCATION/ACCREDITATION:

  • Bachelor’s degree in Finance or other related field

SPECIALIZED SKILLS AND EXPERIENCE

  • Minimum 5 years of relevant compliance experience in the investment management industry working directly for a SEC-registered investment advisor ("RIA")
  • Strong working knowledge of the Investment Advisers Act of 1940 (the "Advisers Act") and the Investment Company Act of 1940 (the "40 Act")
  • Knowledge of FINRA and NFA rules a plus 
  • Experience with compliance testing for RIAs
  • Demonstrated ability to interpret rules, regulations, and interpret guidance under the Advisers Act, the 40 Act, and related U.S. securities laws
  • Knowledge of StarCompliance or similar system
  • Effective organizational skills and ability to multi-task in a fast-paced environment
  • Critical thinker
  • Comfortable with communicating with different stakeholders within the firm
  • Excellent attention to detail

Our people are the most valuable asset we have and it is our mission to build an inclusive environment that acknowledges everyone's opinion.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.

All aspects of employment including the decision to hire or promote, will be based on merit, competence, performance, and business needs. We welcome applications from qualified individuals from all backgrounds. Persons with disabilities who need accommodation in the application process, or those needing job postings in an alternative format, may e-mail a request to talent@fieracapital.com

We thank all applicants for showing an interest in a career with Fiera Capital. Only those selected for an interview will be contacted.

To all recruitment agencies: Fiera Capital does not accept unsolicited agency resumes. Please do not forward such resumes to any Fiera Capital employee, office location or website. Fiera Capital will not be responsible for any fees related to such resumes.