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Compliance Associate
3 months ago
Compliance Associate
Connor, Clark & Lunn Private Capital
Toronto, ON
We are looking for a
Compliance Specialist to join our Toronto-based 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 firm's 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 compliancerelated project oversight and support,
- Assist in development or revision of policy and procedure documentation and guidelines
- Deliver compliancerelated training to staffActively participate in Compliance Team meetings with Amix, Operations and Legal teams.
- 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 company's individual registrants
- Review and maintain referral arrangements to ensure compliance with the requirements of National Instrument "NI 31103")
- Review accounts quarterly to ensure that nonresident investments are within allowable limits
- Review medium and highrisk clients for suspicious activity
- Know Your Client ("KYC") generate quarterly reports for registered staff (Wealth Advisors) and conduct weekly follow up's
- 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 compliancerelated questions to provide regulatory guidance regarding our products and services
- Stay uptodate with regulatory changes
What You Bring
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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.
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Education: You have an undergraduate degree and industry-specific coursework (Canadian Securities Course, CFA Level 1).
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Knowledge: You are familiar with NI and rules set by regulatory authorities such as the Ontario Securities Commission ("OSC"), British Columbia Securities Commission ("BCSC"), Autorité des marchés financiers ("AMF"), and Financial Transactions and Reports Analysis Centre of Canada ("FINTRAC").
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Collaborative Communication: You have a collaborative, team player spirit that helps you work well with others and communicate effectively.
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Analytical & Strategic: You possess an analytical mind and enjoy solving problems with an eye for detail.
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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 Financial Group
Connor, Clark & Lunn Financial Group Ltd. ("CCLFG") provides a broad range of traditional and alternative investment products and services to individuals, advisors, and institutional investors.
Our business comprises of eleven institutional investment affiliates that are responsible for investment decision making and client service, as well as distribution affiliates including Connor Clark & Lunn Private Capital, which provides multi-asset class investment solutions and Connor, Clark & Lunn Funds which distributes single-strategy investments to individual investors.
CCLFG partners with each of its affiliates by contributing world class operations, product development expertise, broad distribution, and business management.
We have grown from $29 billion in assets and 200 people in 2008 to approximately $110 billion in assets and over 800 employees today.
This has been accompanied by a high level of change in technology, types of assets managed, trading activity and geographic growth.
As we look forward, we can see both opportunities and challenges for further growth that only reinforce our commitment to attracting, retaining, and motivating the most talented people.
This is best achieved by:
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A High-Quality Environment: To work with people who we hold in high regard; to enjoy the time that we spend at work; to focus on productive activities without the distraction of politics and bureaucracy; to treat each other with respect.
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An Opportunity to Succeed: To do work that has value and which presents the opportunity for professional growth and development.
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Recognition and Reward: To recognize each person's contribution and to align compensation with contr
