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Compliance Specialist
2 months ago
**Compliance Specialist**
**Connor, Clark & Lunn Financial Group Ltd.**
**Vancouver, BC**
Connor, Clark & Lunn Financial Group Ltd. (CCLFG) is looking for a
**Compliance Specialist** who is extremely organized, has strong attention to detail and takes ownership for all responsibilities that come their way. You will interact with all levels the organization including daily contact with traders and portfolio managers at our affiliate portfolio management teams.
Experience in the finance industry is an advantage. However, if you're a self-starter, an expert multi-tasker and a team player with an eye for detail, you'll be a good fit for this position.
**What You’ll Be Doing**
We are a solution-oriented and collaborative team that interfaces with internal and external stakeholders. You will have the opportunity to work closely with multiple business partners, including portfolio managers and middle/back-office teams.
Key responsibilities include:
- Implementation of personal trading policies and procedures.
- Managing and reconciling employee trade requests for 10+ firms across 4 different time zones, working closely with traders and portfolio management teams.
- Maintaining the personal trading system including adding and removing new staff and managing employee certifications.
- Maintaining a log on all Personal Trading rules & nuances in the compliance manuals for all affiliates.
- Data entry: Inputting all employee trades for reconciliation and matching, including resolving possible violations, tracking broker statements. The volume of data entry will be greatly reduced once broker feeds are established.
- Creating reports for senior management.
- Establishing and maintaining data feeds with brokers
- Coordinating new employee set-up on internal training systems as well as annual Anti-Money Laundering training for current employees.
- Broker set-up for CCLFG affiliates and FINTRAC Know Your Client updates for existing brokers.
- Preparation of reports of exempt distribution filings
- Preparing regulatory reporting and filings including: National Registration Database filings with the various provincial regulators
- Assisting with audit requests related to compliance
**About You**
- Bachelor’s degree in finance or similar as well as the Canadian Securities Course or working towards the CFA designation.
- 1 to 3 years of related work experience in the financial services sector; experience working in a bank, investment management or investment brokerage firm is an asset.
- You have the ability to effectively multi-task and meet deadlines while maintaining accuracy and timeliness.
- Experience with MS Office (Outlook, Word and Excel) at an advanced level.
- Ability to exercise judgment and maintain confidentiality.
- Excellent written and verbal communication skills.
**About the Legal & Compliance Team**
On the team there are nine full-time employees dedicated to legal and compliance functions including four in-house counsel, a senior compliance manager and a four person compliance team who monitors and responds to legal and regulatory requirements on behalf of CCLFG affiliates.
You will report to our Compliance Manager and be part of our small and very busy in-house legal team that delivers all things legal and compliance to Connor, Clark & Lunn Financial Group and its various affiliated companies. We are fast paced, entrepreneurial and, with very little politics, our team ‘gets things done.’
**About Connor, Clark & Lunn Financial Group**
Connor, Clark & Lunn Financial Group Ltd. (“CC&LFG”) 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. CC&LFG 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 $100 billion in assets and nearly 800 people 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:
- **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.
- **An Opportunit
