Financial Services Compliance Specialist
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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.
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