Intern, Compliance Associate
Intern, Compliance Associate
Posted on :
11-06-2025
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1 Vacancy
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Job Description
Intern Compliance Associate
Connor Clark & Lunn Private Capital Ltd.
Toronto ON
CC&L Financial Group is seeking an Intern to join our Compliance Team for a 4-month term (September - December 2025).
What do we offer a Private Client Intern
A dynamic fast-paced work environment where opportunities for learning and growth are abound. The Intern Compliance Associate plays a key role in supporting 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.
As an Intern Compliance Associate you will:
- Review client files to ensure they are accurate and complete.
- Know Your Client (KYC) generate quarterly reports for registered staff (Wealth Advisors) and conduct weekly follow ups
- Provide compliance-related project oversight and support.
- Support system/application transition e.g. records reconciliation between APX and Salesforce and development of Compliance cases.
- Provide support for and review regulatory filings and reviews such as Pooled Fund Filings OSC Investment Fund Survey and Risk Assessment Questionnaires.
- Cross reference disciplinary notices provided by regulatory bodies.
- Maintain a registration listing of the companys individual registrants.
- Review accounts quarterly to ensure that non-resident investments are within allowable limits.
- Review medium and high-risk clients for suspicious activity.
- Assist with Common Reporting Standard (CRS) and Foreign Account Tax Compliance Act (FATCA) reporting.
Qualifications and Experience
The Intern Compliance Associate position is geared toward students either in their third/fourth year of an undergraduate degree with a focus on Finance Accounting and/or Commerce. We are seeking ambitious students with a strong academic track record who are interested in making an impact in process efficiencies at CC&L.
In addition to the above the successful candidate will have:
- At least one previous internship or professional experience in a similar role.
- Ability to deliver results in a fast-paced challenging and dynamic business environment.
- Strong interpersonal skills with the ability to communicate effectively.
- Strong attention to detail and analytical skills meticulous with the ability to prioritize and problem solve.
- Ability to use good judgement and make sound decisions.
- Proficiency in MS Excel especially in creating various tables arrays vlookups and macros.
- Strong knowledge with other MS Office products including Word and PowerPoint.
- Working towards or completion of Canadian Securities Course (CSC) and/or CFA Level 1 is considered an asset.
To apply for this position please submit your resume cover letter and transcript as one PDF.
About Connor Clark & Lunn Financial Group
At CC&L Financial Group we understand the value of opportunity for our clients and our team. Independent and employee-owned we partner with investment professionals to grow successful asset management businesses giving them the space to innovate and truly make an impact.
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 $139 billion in client assets providing a diverse range of traditional and alternative investment products and solutions to institutional high-net-worth and retail clients.
At CC&L Financial Group we understand the value of opportunity for our clients and our team. Independent and employee-owned we partner with investment professionals to grow successful asset management businesses giving them the space to innovate and truly make an impact.
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 $139 billion in client assets providing a diverse range of traditional and alternative investment products and solutions to institutional high-net-worth and retail clients.
Connor Clark & Lunn Private Capital (CC&L Private Capital) is an affiliate of CCLFG providing professional discretionary money management services to individual investors foundations and endowments. The firm is currently responsible for approximately $14 billion in client assets.
For a closer look at how you can build your career with us we invite you to explore .
CC&L Financial Group 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.
To apply for this position please submit your resume and cover letter as one PDF.
We thank all applicants in advance for their interest but only those candidates shortlisted for interviews will be telephone calls or recruitment agencies will be accepted.
To apply for this position please submit your resume and cover letter as one PDF.
We thank all applicants in advance for their interest but only those candidates shortlisted for interviews will be telephone calls or recruitment agencies will be accepted.
#LI-SM2 #LI-Hybrid
Required Experience:
IC
Employment Type
Intern
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