Hybrid Compliance Specialist: Regs, KYC & AI Tools

Connor, Clark & Lunn Financial Group Ltd.; Toronto; Hybrid; CAD 70,000 - 80,000; Full time

Benefits offered by this job

Hybrid work model

Flexible work practices

Professional development support

Health benefits

Job summary

Connor, Clark & Lunn Financial Group invites a Compliance Specialist to join the Private Capital Compliance team. You will support the overall compliance function, assist Wealth Advisors, Associates, and Regulators, and manage high volumes of information from internal and external sources.

The role is hybrid (in-office and remote days) with exposure to NI 31-103, OSC/BCSC rules, and regulatory audits. Two years of related experience and CSC/CFA coursework are preferred.

Qualifications

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

Responsibilities

• Provide compliance-related project support.
• Assist in development or revision of policy and procedure documentation.
• Support system/application transitions (e.g., records reconciliation between APX and Salesforce).
• Deliver compliance training to staff.
• Review regulatory filings and inquiries (Pooled Fund Filings, OSC/BCSC).
• Maintain registration listings and review conflict-of-interest disclosures.

Skills

Compliance experience

Finance knowledge

Regulatory knowledge

Communication skills

Team player

AI productivity tools

Education

Undergraduate degree

Canadian Securities Course

CFA Level 1

Tools

APX

Salesforce

Job description

Connor, Clark & Lunn Financial Group invites a Compliance Specialist to join the Private Capital Compliance team. You will support the overall compliance function, assist Wealth Advisors, Associates, and Regulators, and manage high volumes of information from internal and external sources.

The role is hybrid (in-office and remote days) with exposure to NI 31-103, OSC/BCSC rules, and regulatory audits. Two years of related experience and CSC/CFA coursework are preferred.