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Compliance Specialist (CSC)
Job Location:
Monthly Salary:
Posted:
24 May 2026 (30+ days ago)
Posted:
Application Deadline:
21 August 2026
Application Deadline:
Vacancies:
1 Vacancy
Vacancies:
Job Summary
Compliance Specialist (CSC)
Work in a dynamic securities compliance environment where collaboration innovation and advisor support are part of everyday operations. Enjoy a flexible hybrid work model comprehensive benefits after the first few months professional development opportunities and access to modern technological tools including enterprise AI solutions.
What is in it for you:
Annual salary between 73K-83K depending on experience.
Permanent full-time position 37.5 hours per week.
Flexible schedule with start times between 7:30 am and 9:00 am and end times between 4:00 pm and 5:30 pm.
Hybrid work model with 3 days per week in the office located in modern downtown Montréal offices.
2 remote workdays of your choice.
Office presence required on Wednesdays.
3 weeks of vacation 5 sick days and 1 personal day per year.
Comprehensive group insurance after 3 months including medical dental and telemedicine coverage.
RRSP program with employer contribution after 3 months.
20% reimbursement of the OPUS transit card.
Free access to a gym.
Mental and physical wellness initiatives.
Participation in community projects.
Internal training and career growth opportunities.
Regular team-building and employee wellness activities.
Onboarding process including training observation and reverse shadowing during the first few weeks.
Daily supervision during the first 3 months.
Daily meetings with the compliance team and weekly meetings with the supervision team every Wednesday.
Access to technological tools including enterprise ChatGPT.
Responsibilities:
Act as the compliance contact for advisors.
Maintain relationships with advisors.
Review transactions to ensure regulatory compliance.
Follow up on monthly and quarterly reports related to advisor activities.
Review and approve advisor communications including marketing and social media content.
Manage the outside activities process including evaluation approval disclosure and preparation of disclosure letters.
Ensure compliance with anti-money laundering requirements and personal data protection regulations.
Respond to advisor inquiries regarding transactions and compliance matters.
Identify trends during evaluations and recommend improvements to address gaps.
Participate in system improvement projects and the implementation of new regulations.
Manage a portfolio of approximately 40 to 60 advisors per specialist.
Approve marketing activities and suitability requirements.
Ensure compliance of action plans.
What you need to succeed:
Bachelors degree in finance or a related field.
CSC (Canadian Securities Course) or IFIC (Investment Funds in Canada) certification.
Branch Manager and Conduct & Practices Handbook courses considered assets.
Ongoing certification accepted if the exam is scheduled in the near future.
3 years of experience in a similar role ideally within investments securities or banking.
Experience with Univeris and Winfund platforms considered an asset.
Bilingual in English and French to communicate with advisors across Canada.
Strong proficiency with technology tools.
Ability to recommend improvements to optimize team efficiency.
Curiosity and confidence in professional interactions.
Ability to work in a collaborative environment.
Professional stability sought.
Why Recruit Action
Recruit Action (agency permit: AP-2504511) provides recruitment services through quality support and a personalized approach. As part of the screening process some applications may be reviewed using artificial intelligence tools. Only candidates who meet the hiring criteria will be contacted.
