Compliance Specialist

The role

You will support the overall compliance function of the business. You will provide compliance-related project support and act as a resource for Wealth Advisors, Associates, and Regulators.

What you will do

• Provide compliance-related project support
• Assist in development or revision of policy and procedure documentation and guidelines
• Support for system/application transition
• Help identify opportunities to streamline and enhance compliance processes through automation and approved AI tools
• Deliver compliance-related training to staff
• Actively participate in Compliance Team meetings
• Provide support for and review regulatory filings and reviews
• 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

Required qualifications

• Minimum of two years of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm
• Undergraduate degree
• Industry-specific coursework (Canadian Securities Course, CFA Level 1)
• Familiarity with NI 31-103 and rules set by regulatory authorities such as OSC, BCSC, AMF, and FINTRAC
• Collaborative, team player spirit
• Analytical mind with an eye for detail
• Ability to work efficiently under pressure, both individually and as part of a team
• Practical experience with AI productivity tools (e.g., Microsoft Copilot or similar)

Nice to have

• Canadian Securities Course
• CFA Level 1

Benefits

• Social events
• Volunteering
• Flexible work practices
• 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 one of Canada’s top performing asset managers.