Senior Compliance Associate

Fiera Capital

Location: New York

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:

We are looking for a self-motivated compliance professional to join our team in New York. This is an exciting opportunity to join the compliance team of Fiera Capital Inc (“FCI”). In this role you will have the ability to proactively use your compliance experience and interpersonal skills to provide compliance support to the portfolio management teams and all other elements of our compliance program. You will report directly to the Chief Compliance Officer / Head of Compliance – US.

Your responsibilities:

• Perform as subject matter expert in collaboration with key stakeholders across the company including senior compliance and business leaders with respect to implementation of global and FCI compliance program;

• Maintain current and appropriate FCI compliance policies, procedures and processes to address key regulatory, compliance risks particularly surrounding portfolio compliance, and Code of Ethics monitoring;

• Lead FCI’s new hire on-boarding requirements which includes monitoring and tracking to ensure mandatory trainings and certifications are completed in accordance with policy and procedure;

• Collaborate and assist with monitoring and testing of business activities, including the annual compliance program review, to ensure compliance with regulations and internal policies and procedures;

• Assist with various client and vendor day-to-day operational support functions;

• Maintain thorough understanding of state and federal securities rules and regulations governing the investment advisory industry;

• Assist on special projects and ad hoc assignments such as regulatory filings and the completion of RFPs and DDQs.

Must have requirements to be successful in this role:

• BA/BS degree (econ, CS, finance, or similar discipline preferred);

• 3-5 years of experience in risk and compliance preferably with a SEC-registered investment adviser;

• Familiar with Investment Advisers Act of 1940 and Investment Company Act of 1940 regulations;

• Fund compliance experience (public and private);

• Strong technical skills in Microsoft Office Suite particularly in Excel and Word;

• Good knowledge of compliance systems, i.e. Charles River, Aladdin and others;

• Good knowledge of Code of Ethics systems, i.e. StarCompliance, MCO, PTE Protegent and others;

• Excellent analytical and problem-solving skills;

• Excellent prioritization and organizartional skills;

• Strong writing and drafting skills;

• Be able to create, document and monitor processes;

• Strong interpersonal and teamwork skills.

Additional Information:

• Fiera Capital adheres to a hybrid working environment with 3 days in-office per week

• If you are interested in a career at Fiera Capital and you meet 70% or more of the requirements, do not hesitate to submit your application!

The role is based in New York.

The salary range: 97,600 - 146,400 USD. This role is eligible for other compensation incentives, such as bonuses, benefits and other perks.

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.