Intern, Compliance Associate

2 weeks ago

Toronto, Canada Connor, Clark & Lunn Financial Group Full time

**Intern, Compliance Associate**

**Connor, Clark & Lunn Private Capital Ltd.**

**Toronto, ON**

CC&L Financial Group is seeking an** Intern **to join our **Compliance** Team for a **4-month term** (January - April 2025).

**What do we offer a Private Client Intern?**

A dynamic, fast-paced work environment where opportunities for learning and growth are abound. The **Intern, Compliance Associate** plays a key role in supporting 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.

As an **Intern**, Compliance Associate** you will:

- Review client files to ensure they are accurate and complete.
- Know Your Client (“KYC”) - generate quarterly reports for registered staff (Wealth Advisors) and conduct weekly follow up’s
- Provide compliance-related project oversight and support.
- 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 accounts quarterly to ensure that non-resident investments are within allowable limits.
- Review medium and high-risk clients for suspicious activity.
- Assist with Common Reporting Standard (“CRS”) and Foreign Account Tax Compliance Act (“FATCA”) reporting.

**Qualifications and Experience**

The** Intern**, Compliance Associate** position is geared toward students either in their third/fourth year of an undergraduate degree with a focus on Finance, Accounting, and/or Commerce. We are seeking ambitious students with a strong academic track record, who are interested in making an impact in process efficiencies at CC&L.
- At least one previous internship or professional experience in a similar role.
- Ability to deliver results in a fast-paced, challenging, and dynamic business environment.
- Strong interpersonal skills with the ability to communicate effectively.
- Strong attention to detail and analytical skills, meticulous with the ability to prioritize and problem solve.
- Ability to use good judgement and make sound decisions.
- Proficiency in MS Excel, especially in creating various tables, arrays, vlookups, and macros.
- Strong knowledge with other MS Office products including Word and PowerPoint.
- Working towards or completion of Canadian Securities Course (CSC) and/or CFA Level 1 is considered an asset.

**About Connor, Clark & Lunn Financial Group**

At CC&L Financial Group, we understand the value of opportunity - for our clients and our team. Independent and employee-owned, we partner with investment professionals to grow successful asset management businesses, giving them the space to innovate and truly make an impact.

With more than 40 years of history and offices across Canada and in the US, the UK and India, CC&L Financial Group and our multi-boutique family of affiliate firms collectively manage over $133 billion in client assets, providing a diverse range of traditional and alternative investment products and solutions to institutional, high-net-worth and retail clients.

Connor, Clark & Lunn Private Capital ("CC&L Private Capital") is an affiliate of CCLFG, providing professional discretionary money management services to individual investors, foundations and endowments. The firm is currently responsible for approximately $14 billion in client assets.

CC&L Financial Group is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to gender, ethnicity, religion, sexual orientation or expression, disability, or age.

LI-SM1 #LI-Hybrid

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