Senior Compliance Associate

Fiera Capital - New York, NY

Full-time - Mid Level

Hybrid - New York, NY

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Fiera Capital is seeking a self-motivated compliance professional to join their compliance team in New York. This role involves providing compliance support to portfolio management teams and ensuring adherence to regulatory requirements. The position offers an opportunity to leverage compliance experience and interpersonal skills in a collaborative environment, reporting directly to the Chief Compliance Officer.

Responsibilities

• Act as a subject matter expert in collaboration with key stakeholders across the company regarding the implementation of global and FCI compliance programs.
• Maintain current and appropriate FCI compliance policies, procedures, and processes to address key regulatory and compliance risks, particularly surrounding portfolio compliance and Code of Ethics monitoring.
• Lead FCI's new hire onboarding requirements, ensuring mandatory trainings and certifications are completed according to 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.
• Assist with various client and vendor day-to-day operational support functions.
• Maintain a 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.

Requirements

• BA/BS degree in economics, computer science, finance, or a similar discipline preferred.
• 3-5 years of experience in risk and compliance, preferably with a SEC-registered investment adviser.
• Familiarity with the 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, such as Charles River, Aladdin, and others.
• Good knowledge of Code of Ethics systems, such as StarCompliance, MCO, PTE Protegent, and others.
• Excellent analytical and problem-solving skills.
• Excellent prioritization and organizational skills.
• Strong writing and drafting skills.
• Ability to create, document, and monitor processes.
• Strong interpersonal and teamwork skills.

Benefits

• Competitive compensation and benefits packages
• Collaborative culture
• Programs designed to support employee wellbeing