Compliance Specialist

Connor, Clark & Lunn Private Capital Ltd. (CC&L); Toronto; On-site; CAD 50,000 - 65,000; Full time

Job summary

A leading investment management firm in Toronto is seeking an Entry-level Compliance Specialist. The role supports compliance functions, delivers training, and manages regulatory inquiries. Ideal candidates have an undergraduate degree, experience in finance or compliance, and strong analytical skills. A commitment to diversity and inclusion is emphasized.

Qualifications

• Minimum of one year of related work experience, ideally in compliance, finance, or operations.
• Familiarity with NI 31-103 and rules set by regulatory authorities.

Responsibilities

• Provide compliance-related project oversight and support.
• Deliver compliance-related training to staff.
• Review accounts quarterly for compliance with investment limits.

Skills

Collaborative Communication

Analytical & Strategic Thinking

Time Management

Education

Undergraduate degree

Canadian Securities Course

CFA Level 1

Job description

Overview

The Compliance Specialist role at Connor, Clark & Lunn Private Capital Ltd. (CC&L) reports to the Chief Compliance Officer and supports the overall compliance function of the business. You will be one of the primary resources for the firm’s Wealth Advisors, Associates and Regulators. This content-heavy position requires a deep understanding of the business and the ability to manage a high volume of information flowing from both internal and external sources.

Responsibilities

• Provide compliance-related project oversight and support
• Assist in development or revision of policy and procedure documentation and guidelines
• Support system / application transition (e.g., records reconciliation between APX and Salesforce; development of Compliance cases)
• Deliver compliance-related training to staff
• Actively participate in Compliance Team meetings with AMIX, Operations and other stakeholders
• Provide support for and review regulatory filings and reviews such as Pooled Fund Filings, OSC Investment Fund Survey, and Risk Assessment Questionnaires, other regulatory inquiries and audits
• Cross reference disciplinary notices provided by regulatory bodies
• Maintain a registration listing of the company’s individual registrants
• Review and maintain referral arrangements to ensure compliance with NI 31-103
• Review accounts quarterly to ensure that non-resident investments are within allowable limits
• Review medium- and high-risk clients for suspicious activity
• Know Your Client (KYC) – generate quarterly reports for registered staff (Wealth Advisors) and conduct weekly follow-ups
• Review client files to ensure they are accurate and complete
• Assist with CRS and FATCA reporting
• Ensure marketing materials are reviewed to ensure compliance with applicable legislation
• Perform regulatory checks / spot audits to guarantee ongoing regulatory compliance
• Provide regulatory guidance regarding our products and services
• Stay up-to-date with regulatory changes

Qualifications

• Experience: You have a minimum of one year of related work experience, ideally in compliance, finance, or operations from a financial and / or investment firm.
• Education: You have an undergraduate degree and industry-specific coursework (Canadian Securities Course, CFA Level 1).
• Knowledge: You are familiar with NI 31-103 and rules set by regulatory authorities such as the Ontario Securities Commission (OSC), British Columbia Securities Commission (BCSC), Autorité des marchés financiers (AMF), and FINTRAC.
• Collaborative Communication: You have a collaborative, team player spirit that helps you work well with others and communicate effectively.
• Analytical & Strategic: You possess an analytical mind and enjoy solving problems with an eye for detail.
• Time Management: You have the ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines.

About Connor, Clark & Lunn Private Capital

CC&L Private Capital is part of Connor, Clark & Lunn Financial Group Ltd. CC&L Financial Group, one of Canada’s largest privately owned asset management firms. With more than 40 years of history and offices across Canada and in the US, the UK and India, CC&L Financial Group and our multi-boutique family of affiliate firms collectively manage over $155 billion in assets, providing a diverse range of traditional and alternative investment products and solutions to institutional, high-net-worth and retail clients.

CC&L is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment regardless of gender, ethnicity, religion, sexual orientation or expression, disability, or age.

How to apply

To apply for this position, please submit your resume and cover letter combined as one PDF document. We thank all applicants in advance for their interest, but only those shortlisted for interviews will be contacted. No telephone calls or recruitment agencies will be accepted.

Location: Toronto, ON

Employment details

• Seniority level: Entry level
• Employment type: Full-time
• Job function: Finance and Sales
• Industries: Investment Management