Senior Compliance Advisor (German Market)

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:

As a core member of the Fiera Capital Europe Compliance team, the Senior Compliance Advisor (Germany) is responsible for leading and otherwise supporting aspects of German, UK and European regulatory compliance including the AML programme.

This role is based in London (UK) however due to the nature of its responsibilities, it requires a high level of proficiency in the German language as well as periodic travel to Frankfurt.

We are looking for an individual who is willing to accept and meet challenges head on, working with other compliance and businesspeople across the global enterprise. The successful candidate is willing to embrace change, examine complex problems and promote more efficient and better ways of achieving results.

Your Responsibilities:

• Being the primary lead in managing, with the support of the Compliance Officer for Fiera Capital (Germany) GmbH, all matters arising from German regulation, in particular but not limited to:
  • Internal audits
  • Regulatory returns to BaFin
  • Regulatory license applications to BaFin
  • Assisting with ongoing liaison with BaFin
• Taking primary responsibility for the management of regulatory developments impacting the UK, Germany and providing general EU horizon scanning, analysis and reporting.
• AML administration, acting as the technical lead for AML analysis, leveraging LexisNexis.
• In conjunction with other members of the broader European compliance function: 
  • Advising Fiera Capital Europe staff with regards to compliance issues relating to UK and European regulatory obligations 
  • Carrying out regular reviews of business processes to ensure ongoing compliance by regulated entities with their relevant regulatory obligations, including assisting with reviewing existing processes and designing new procedures to promote effective and efficient compliance processes
  • Participating from time to time in projects with the aim of consolidating and harmonizing global Fiera Capital Compliance processes and procedures
  • Ensuring that all compliance and operating procedures are kept up to date and are fit for purpose, specifically with regards to the firms Anti-Financial Crime program.
  • Assisting with ensuring that all appropriate compliance records are maintained
  • Undertaking reviews and approval of marketing documentation and ensuring that appropriate disclosure statements are made
  • Assisting with ongoing liaison with all relevant regulators
  • Liaising with external compliance consultants and legal advisers and implementing their recommendations
  • Working closely with other Departments to ensure continued compliance with evolving regulatory and industry standards.
  • Designing and implementing suitable processes and procedures to ensure on-going compliance with regulatory requirements; specifically assisting in continuously upgrading the policies and procedures framework to maintain best-in-class level.
  • Assist in ensuring the regulated entities maintain a comprehensive compliance monitoring programme; demonstrate monitoring on a regular basis to assess the adequacy and effectiveness of the measures and procedures put in place to manage the compliance obligations.

Must have requirements to be successful in this role:

• University degree in a relevant discipline. (Finance, business administration, law, accounting, etc.);
• At least five years of experience related to regulatory compliance, AML, or internal auditing in the field of investment management;
• Fully proficient in English and German;
• Legal or Compliance qualification is considered an asset;
• Previous experience working with BaFin is considered an asset;
• Awareness of the regulatory framework and investment management industry best practices;
• Ability to work independently and interact effectively with others;
• Strong organizational skills and demonstrated ability to manage multiple priorities simultaneously;
• Ability to exercise diligence, diplomacy and discretion when dealing with confidential information;
• Strong analytical thinking and critical reasoning skills with a strong attention to detail;
• Proficient with MS Office tools, including Excel, Word, PowerPoint, Teams and Visio.

Additional Information:

• Fiera Capital adheres to a hybrid working environment with 3 days in-office per week
• This role requires the ability to travel to Frankfurt for 25 days per calendar year (the schedule of travel days is flexible)
• 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!

#LI-Hybrid

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.