Compliance Specialist

CC&L Infrastructure; Vancouver; Hybrid; CAD 60,000 - 80,000; Full time

Job summary

A leading Canadian asset management firm in Vancouver is seeking a Compliance Specialist to support compliance functions. The ideal candidate will have experience in compliance within the finance sector and knowledge of regulatory requirements. The role includes oversight of compliance projects, training staff, and performing regulatory checks to ensure compliance. A competitive starting salary of $75,000 is offered, along with a performance bonus.

Qualifications

• Minimum of one year of experience in compliance finance or operations.
• Familiar with NI 31-103 and regulatory rules.
• Ability to solve problems with a detail-oriented approach.

Responsibilities

• Provide compliance-related project oversight and support.
• Deliver compliance-related training to staff.
• Perform regulatory compliance checks to ensure continuous compliance.

Skills

Compliance knowledge

Analytical skills

Collaborative communication

Time management

Education

Undergraduate degree

Canadian Securities Course

CFA Level 1

Job description

Overview

Compliance Specialist

Connor Clark & Lunn Private Capital

Vancouver BC

We are looking for a Compliance Specialist to join our Private Capital Compliance team. Reporting to the Chief Compliance Officer you will support the overall compliance function of the business. You will be one of the primary resources for the firms 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.

What You Will Do

• Provide compliance-related project oversight and support
• Assist in development or revision of policy and procedure documentation and guidelines
• Support for 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 .
• 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 companys individual registrants
• 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 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 Common Reporting Standard (CRS) and Foreign Account Tax Compliance Act (FATCA) reporting
• Ensure marketing materials are reviewed to ensure compliance with applicable legislation
• Perform regulatory compliance checks / spot audits to guarantee continuous regulatory compliance
• Responsible for answering compliance-related questions to provide regulatory guidance regarding our products and services
• Stay up-to-date with regulatory changes

What You Bring

• 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) Autorite des marchs financiers (AMF) and Financial Transactions and Reports Analysis Centre of Canada (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.

Salary and How to Apply

The starting salary for this position is $75,000. The salary range provided reflects the base salary range for this position; there is an annual performance bonus which contributes to the total compensation of this position. Further questions may be directed to the HR team during the interview process.

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 and provide 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 without regard to gender, ethnicity, religion, sexual orientation or expression, disability or age.

We thank all applicants in advance for their interest but only those candidates shortlisted for interviews will be contacted. Recruitment agencies will be accepted only by prior agreement.

#LI-HYBRID #LI-RD1