Compliance Specialist

Connor, Clark & Lunn group; Toronto; Hybrid; CAD 70,000 - 80,000; Full time

Benefits offered by this job

Competitive total compensation

Retirement savings

Wellness credits

Parental leave

Flexible work practices

Job summary

Connor, Clark & Lunn Financial Group seeks a Compliance Specialist for its Private Capital Compliance team. You will support policy development, regulatory filings, and KYC reviews, ensuring adherence to NI 31-103 and OSC/BCSC/AMF/FINTRAC requirements.

The role emphasizes process automation and staff training in a hybrid work model. You should have at least two years in compliance, an undergraduate degree, and relevant coursework (Canadian Securities Course, CFA Level 1).

Qualifications

• Minimum two years of related work experience in compliance, finance, or operations.
• Undergraduate degree with industry coursework (Canadian Securities Course, CFA Level 1).
• Familiar with NI 31-103 and rules set by OSC, BCSC, AMF, and FINTRAC.

Responsibilities

• Provide compliance-related project support and policy documentation.
• Assist with regulatory filings, audits, and regulatory inquiries.
• Review NI 31-103 compliance requirements and referral arrangements.
• Produce KYC quarterly reports and monitor high/medium risk clients.
• Support training for staff and participate in Compliance Team meetings.

Skills

Attention to detail

Analytical mindset

Team player

Communication

Education

Undergraduate degree

Canadian Securities Course

CFA Level 1

Tools

AI productivity tools

Microsoft Copilot

Job description

Interested in joining one of Canada's top performing asset managers? We are looking for a Compliance Specialist to join our Private Capital Compliance team. Reporting to the Compliance Manager, you will support 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 is a content heavy position that will require a deep understanding of the business and the ability to manage a high volume of information flowing from both internal and external sources.Our offices currently operate on a hybrid model with a combination of in-office and remote working days throughout the week.What You Will DoProvide compliance-related project supportAssist in development or revision of policy and procedure documentation and guidelinesSupport for system/application transition e.g. records' reconciliation between APX and Salesforce, development of compliance casesHelp identify opportunities to streamline and enhance compliance processes through automation and approved AI toolsDeliver compliance-related training to staffActively participate in Compliance Team meetings with Asset Mix & Trading Operations and other functional teams.Provide support for and review regulatory filings and reviews such as Pooled Fund Filings, OSC Investment Fund Survey, and BCSC Risk Assessment Questionnaire, other regulatory inquiries and auditsCross reference disciplinary notices provided by regulatory bodiesMaintain a registration listing of the company's individual registrantsReview outside activities, gifts and entertainment, conflicts of interest, and employee attestations, as applicable.Review and maintain referral arrangements to ensure compliance with the requirements of National Instrument 31-103 (\"NI 31-103\")Review accounts quarterly to ensure that non-resident investments are within allowable limitsReview medium and high-risk clients for suspicious activityKnow Your Client (\"KYC\") – generate quarterly reports for registered staff (Wealth Advisors) and conduct follow up'sReview client files to ensure they are accurate and completeAssist with preparation of regulatory reports including CRS / FATCA and 45-106 Reports of Exempt Distributions Ensure marketing materials are reviewed to ensure compliance with applicable legislationPerform regulatory compliance checks/spot audits to guarantee continuous regulatory complianceResponsible for answering compliance-related questions to provide regulatory guidance regarding our products and servicesStay up to date with regulatory changesWhat You BringYou have a minimum of two years of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm.You have an undergraduate degree and industry-specific coursework (Canadian Securities Course, CFA Level 1).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 Financial Transactions and Reports Analysis Centre of Canada (\"FINTRAC\").You have a collaborative, team player spirit that helps you work well with others and communicate effectively.You possess an analytical mind and enjoy solving problems with an eye for detail.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.You have practical experience with AI productivity tools (e.g., Microsoft Copilot or similar) and have applied them to improve efficiency, automate routine tasks, and support process improvementsThe expected base salary range for this position is $70,000–$80,000. The midpoint represents our general market target for a fully qualified and experienced individual performing the role. Actual starting salary may fall below or above the midpoint depending on the candidate's relevant experience, skills and qualifications, as well as internal equity considerations. Further questions may be directed to the HR team during the interview process. #LI-HYBRID #LI-SJ1What We OfferAt Connor, Clark & Lunn Financial Group, we're \"invested in our greatest asset, you\". Our shared goals reflect what matters most to our people:Your community: we foster belonging through collaboration, inclusion and flexibility. Enjoy social events, volunteering and a strong commitment to corporate social responsibility. Our flexible work practices are designed to support work-life balance and provide employees with flexibility in where and how they workYour growth: we prioritize your development with meaningful work, continuous learning budgets, paid study days and support for professional designations.Recognizing you: your contributions are rewarded with competitive total compensation, retirement savings support, wellness credits, enhanced parental leave, and comprehensive health benefits.For a closer look at how you can build your career with us, we invite you to explore cclgroup.com.We are committed to providing an inclusive, accessible recruitment and selection process. We 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. Please contact [e-mail] if you require accommodation.AI may be used to support certain stages of our screening & recruitment process. These tools support, but do not replace, human judgment and decision-making.