Compliance Specialist
Compliance Specialist
Posted on :
01-09-2025
Employer Active
1 Vacancy
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Job Description
Compliance Specialist
Connor Clark & Lunn Private Capital
Edmonton Alberta
Connor Clark & Lunn Private Capital
Edmonton Alberta
We are looking for aCompliance Specialistto 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) Autorit 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.
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 Canadas 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 CCL&L Financial Group and our multi-boutique family ofaffiliatefirms collectively manage over $155 billion in assets providing 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 telephone calls or recruitment agencies will be accepted.
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Required Experience:
Unclear Seniority
Employment Type
Full Time
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