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About the Role
Join one of Canada’s top performing asset managers as a Compliance Specialist within the Private Capital Compliance team. You will support the overall compliance function, acting as a primary resource for Wealth Advisors, Associates, and Regulators. This content-heavy role requires a deep understanding of the business and the ability to manage high volumes of information.
Responsibilities
- Provide compliance-related project support.
- Assist in development or revision of policy and procedure documentation and guidelines.
- Support system/application transitions, including records reconciliation and compliance case development.
- Identify opportunities to streamline and enhance compliance processes through automation and AI tools.
- Deliver compliance-related training to staff.
- Participate in Compliance Team meetings with Asset Mix & Trading Operations and other functional teams.
- Support and review regulatory filings and reviews (e.g., Pooled Fund Filings, OSC Investment Fund Survey, BCSC Risk Assessment Questionnaire) and other regulatory inquiries and audits.
- Cross-reference disciplinary notices provided by regulatory bodies.
- Maintain a registration listing of the company’s individual registrants.
- Review outside activities, gifts and entertainment, conflicts of interest, and employee attestations.
- Review and maintain referral arrangements to ensure compliance with NI 31-103.
- Review accounts quarterly to ensure non-resident investments are within allowable limits.
- Review medium and high-risk clients for suspicious activity.
- Generate quarterly KYC reports for registered staff and conduct follow-ups.
- Review client files for accuracy and completeness.
- Assist with preparation of regulatory reports (e.g., CRS/FATCA, 45-106 Reports of Exempt Distributions).
- Ensure marketing materials are reviewed for compliance with applicable legislation.
- Perform regulatory compliance checks/spot audits.
- Answer compliance-related questions and provide regulatory guidance regarding products and services.
- Stay up to date with regulatory changes.
Requirements
- Minimum of two years of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm.
- Familiarity with NI 31-103 and rules set by regulatory authorities such as OSC, BCSC, AMF, and FINTRAC.
- Collaborative, team player spirit with effective communication skills.
- Analytical mind with problem-solving abilities and attention to detail.
- Ability to work efficiently under pressure, both individually and as part of a team, managing changes and interruptions while meeting deadlines.
- Practical experience with AI productivity tools (e.g., Microsoft Copilot or similar) applied to improve efficiency, automate tasks, and support process improvements.
Skills
- Compliance
- Finance
- Operations
- Policy and procedure development
- Regulatory filings
- AI tools
- Training delivery
- Regulatory guidance
- Problem-solving
- Attention to detail
Location
- Canada
Work Type
- Hybrid
Experience Level
- Minimum of two years of related work experience
Education Level
- Undergraduate degree
- Industry-specific coursework (Canadian Securities Course, CFA Level 1)
Salary/Compensations
- $70,000–$80,000
Benefits
- Social events
- Volunteering opportunities
- Corporate social responsibility
- Flexible work practices
- Work-life balance support
- Continuous learning budgets
- Paid study days
- Support for professional designations
- Competitive total compensation
- Retirement savings support
- Wellness credits
- Enhanced parental leave
- Comprehensive health benefits
About the Company
- Connor, Clark & Lunn Financial Group is committed to fostering belonging through collaboration, inclusion, and flexibility.
- They prioritize employee development with meaningful work, continuous learning budgets, and support for professional designations.
- Contributions are recognized with competitive compensation and benefits.
Equal Opportunity
- Committed to providing an inclusive, accessible recruitment and selection process.
- Welcome and encourage applications from people with disabilities.
- Accommodations are available on request for candidates taking part in all aspects of the recruitment and selection process.
- AI may be used to support certain stages of the screening & recruitment process, supporting but not replacing human judgment.