Analyst, Compliance

Fiera Capital - Toronto, ON (5 months ago)

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Under the supervision of the Director, Client Management Compliance and Programs Management, the Analyst, Compliance main duties consist of managing client documentation requests, to review and process account openings, closures and client record updates. The analyst will also be involved in the application of regulatory requirements involving the team.

As part of his duties, the Analyst will be assigned the following responsibilities:

Actively participate in the process of opening and closing accounts (receive, scan, file, log and prepare the documents received) and updating client records, such as changes to investment policies;
Keep electronic records up-to-date and archive old documents;
Follow up with account managers when information is missing for the processing of client documents in order to complete records based on regulatory and internal requirements;
Manage the transmission of documents between account managers and the Compliance team, and advise the Compliance team’s key people of new documentation received or changes;
Submit recommendations for improvements to the work methods and tools;
Actively participate in special projects and the team’s shared responsibilities;
Act as a key resource person for clients;
Support team members in the exercise of their main responsibilities.

EDUCATION/ACCREDITATION:
Diploma of College Studies (e.g., DEC in administration)
Minimum of three (3) years of experience in similar duties;
Experience in the financial field an asset;
Sound investment knowledge an asset, ability to understand complex account structure set ups and client investment instructions;
Familiarity with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act regulations;
Thoroughness and attention to detail;
Excellent analytical skills and depth;
Strong organizational skills and ability to manage several deadlines, projects and priorities at once to meet the team’s deliverables;
Excellent interpersonal skills;
Independent and self-sufficient, able to work well as part of a team but can also work effectively alone;
Good knowledge of the Microsoft Office suite (Word, Outlook, PowerPoint and Excel);
Proficiency in English (spoken and written).

Fiera Capital is an equal opportunity employer. Our people are the most valuable asset we have and it is our mission to build an inclusive and equitable environment where everyone can reach their true potential.

Fiera Capital will not tolerate discrimination or harassment. 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.

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