Support financial compliance at Connor, Clark & Lunn Private Capital Ltd. in Vancouver through regulatory reviews, filings, and detailed information management.
Reporting to the Compliance Manager, this Compliance Specialist supports the Private Capital Compliance team. You will assist Wealth Advisors, Associates, and regulators while handling policy documentation, regulatory inquiries, and audits. The hybrid model combines in-office and remote working days throughout the week.
Key Responsibilities:
- Provide compliance-related project support across business functions
- Review regulatory filings, inquiries, audits, and compliance reports
- Maintain registrant listings and review referral arrangements
- Conduct client file, KYC, and suspicious activity reviews
- Deliver compliance training and regulatory guidance to staff
Requirements:
- Minimum two years of related work experience
- Undergraduate degree and industry-specific coursework
- Familiarity with NI 31-103, OSC, BCSC, AMF, and FINTRAC
- Analytical approach with strong attention to detail
- Practical experience using AI productivity tools
Apply financial compliance expertise, regulatory knowledge, and analytical judgment as a Compliance Specialist supporting Private Capital operations.
Financial Services Compliance Specialist in Vancouver employer: Connor, Clark & Lunn group
At CC&L Financial Group, we pride ourselves on being a top employer in Canada, offering a dynamic work environment that fosters innovation and collaboration. Our hybrid work model allows for flexibility while our commitment to employee growth ensures that you will have ample opportunities to develop your skills and advance your career. Join us to be part of a supportive culture where your contributions directly impact our investment technology landscape and help shape the future of asset management.
Contact Details:
Connor, Clark & Lunn group Recruitment Team
