Support private capital compliance at Connor, Clark & Lunn Financial Group through regulatory knowledge and detailed information management. Work within a hybrid office and remote model throughout the week.
Reporting to the Compliance Manager, you will support the business's overall compliance function. As a primary resource for Wealth Advisors, Associates, and Regulators, you will manage high volumes of internal and external information. The work includes NI 31-103, regulatory filings, client reviews, and compliance guidance.
Key Responsibilities:
- Provide compliance-related project support
- Develop or revise policies, procedures, and guidelines
- Review regulatory filings, inquiries, reviews, and audits
- Maintain registrant listings and review employee attestations
- Answer compliance questions and provide regulatory guidance
Requirements:
- Minimum two years of related experience
- Undergraduate degree and industry-specific coursework
- Familiarity with NI 31-103 and Canadian regulators
- Analytical, detail-oriented problem-solving approach
- Practical experience with AI productivity tools
Bring regulatory expertise, analytical judgment, and information management skills to private capital compliance at Connor, Clark & Lunn.
Private Capital Compliance Specialist in Toronto employer: Connor, Clark & Lunn Financial Group (CC&L)
At CC&L Financial Group, we pride ourselves on being an exceptional employer that fosters a collaborative and innovative work culture. As the Head of Tax, you will not only lead impactful tax strategies but also benefit from our commitment to employee growth through continuous learning opportunities and mentorship. Located in a vibrant city, our hybrid work model ensures a healthy work-life balance while engaging with a team of dedicated professionals who are passionate about driving success together.
Contact Details:
Connor, Clark & Lunn Financial Group (CC&L) Recruitment Team
