Job Application for Compliance Specialist at Connor, Clark & Lunn Financial Group Ltd.

New

Interested in joining one of Canada’s top performing asset managers? We are looking for a Compliance Specialist to join our Private Capital Compliance team. Reporting to the Compliance Manager, 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.

Our offices currently operate on a hybrid model with a combination of in-office and remote working days throughout the week.

What You Will Do

Provide compliance-related project support
Assist in development or revision of policy and procedure documentation and guidelines
Support for system/application transition e.g. records’ reconciliation between APX and Salesforce, development of compliance cases
Help identify opportunities to streamline and enhance compliance processes through automation and approved AI tools
Deliver compliance-related training to staff
Actively participate in Compliance Team meetings with Asset Mix & Trading Operations and other functional teams.
Provide support for and review regulatory filings and reviews such as Pooled Fund Filings, OSC Investment Fund Survey, and BCSC Risk Assessment Questionnaire, other regulatory inquiries and audits
Cross reference disciplinary notices provided by regulatory bodies
Maintain a registration listing of the company’s individual registrants
Review outside activities, gifts and entertainment, conflicts of interest, and employee attestations, as applicable.
Review and maintain referral arrangements to ensure compliance with the requirements of National Instrument 31-103 (“NI 31-103”)
Review accounts quarterly to ensure that non-resident investments are within allowable limits
Review medium and high-risk clients for suspicious activity
Know Your Client (“KYC”) – generate quarterly reports for registered staff (Wealth Advisors) and conduct follow up’s
Review client files to ensure they are accurate and complete
Assist with preparation of regulatory reports including CRS / FATCA and 45-106 Reports of Exempt Distributions 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 compliance-related questions to provide regulatory guidance regarding our products and services
Stay up to date with regulatory changes

What You Bring

You have a minimum of two years of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm.
You have an undergraduate degree and industry-specific coursework (Canadian Securities Course, CFA Level 1).
You are familiar with NI 31-103 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”).
You have a collaborative, team player spirit that helps you work well with others and communicate effectively.
You possess an analytical mind and enjoy solving problems with an eye for detail.
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.
You have practical experience with AI productivity tools (e.g., Microsoft Copilot or similar) and have applied them to improve efficiency, automate routine tasks, and support process improvements

The expected base salary range for this position is $70,000–$80,000. The midpoint represents our general market target for a fully qualified and experienced individual performing the role. Actual starting salary may fall below or above the midpoint depending on the candidate's relevant experience, skills and qualifications, as well as internal equity considerations. Further questions may be directed to the HR team during the interview process.

 #LI-HYBRID #LI-SJ1

What We Offer
At Connor, Clark & Lunn Financial Group, we’re "invested in our greatest asset, you". Our shared goals reflect what matters most to our people:

Your community: we foster belonging through collaboration, inclusion and flexibility. Enjoy social events, volunteering and a strong commitment to corporate social responsibility. Our flexible work practices are designed to support work-life balance and provide employees with flexibility in where and how they work
Your growth: we prioritize your development with meaningful work, continuous learning budgets, paid study days and support for professional designations.
Recognizing you: your contributions are rewarded with competitive total compensation, retirement savings support, wellness credits, enhanced parental leave, and comprehensive health benefits.

For a closer look at how you can build your career with us, we invite you to explore cclgroup.com. 

We are committed to providing an inclusive, accessible recruitment and selection process. We welcome and encourage applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the recruitment and selection process. Please contact talentacquisition@cclgroup.com if you require accommodation.

AI may be used to support certain stages of our screening & recruitment process. These tools support, but do not replace, human judgment and decision-making.

Create a Job Alert

Interested in building your career at Connor, Clark & Lunn Financial Group Ltd.? Get future opportunities sent straight to your email.

First Name

Last Name

Preferred First Name

Country

Phone

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Cover Letter

Accepted file types: pdf, doc, docx, txt, rtf

LinkedIn Profile

Website

Have you been employed by Connor, Clark & Lunn Financial Group or any associated affiliates in the past?

Select...

Acknowledgement of Privacy Policy

Select...

I acknowledge that I have read and understood the CC&L Financial Group Privacy Policy [https://cclfg.cclgroup.com/privacy-confidentiality/]. I consent to CC&L processing my personal data as described in the Privacy Policy as summarized below, including to the transfer of my personal data to third parties located outside of my jurisdiction, and I understand my privacy rights and choices.

Review and acknowledge how we handle your data

Select...

The CC&L Financial Group entity to which you are applying is the data controller for the personal data you provide during the recruitment process and can be contacted at privacy@cclgroup.com.

We process personal data about you to manage our recruitment activities, including evaluating your suitability for employment. By completing the acknowledgement above, you consent to this processing. In applicable jurisdictions, other lawful bases for this processing are: (i) legitimate interests, to collect and review application information, shortlist, conduct interviews and assessments, and verify candidates; and (ii) contract, where you have accepted a job offer and we need to take steps prior to entering into a contract of employment.

We collect personal data directly from you when you apply for a role and may also obtain personal data about you from other sources, including recruitment agencies, employee referrals, and professional networking sites, where permitted by applicable law. Your personal data may be shared within our group, with third parties who provide services to us (including Greenhouse Software, Inc., a cloud services provider located in the U.S. engaged to help manage our recruitment process), and where required by law. Where your personal data may be transferred outside of your state/province/region or internationally, appropriate safeguards are in place in accordance with applicable data protection law.

Your personal data will be retained for the duration of the recruitment process and for a period following the conclusion of the recruitment process, including for the purpose of considering you for future employment opportunities, contacting you about such opportunities, or as otherwise outlined in our Privacy Policy, in accordance with data protection laws.

You have various rights under applicable data protection law depending on where you live, including the right to access, correct, delete or restrict processing of your personal data, and to receive your data in a portable format. You may also object to processing or retention in some circumstances and, where we have asked for your consent, withdraw it at any time. These rights may be limited in certain circumstances.

If you have any concerns about how we handle your personal data or would like more information about what rights you have, please contact us at privacy@cclgroup.com in the first instance. You also have the right to lodge a complaint with your local supervisory authority. For UK applicants, this is the Information Commissioner's Office. For full details on how we process your personal data please see our Privacy Policy at [https://cclfg.cclgroup.com/privacy-confidentiality]

Are you currently entitled to work in the country to which you are applying on an ongoing basis (that is, with no end date) and without limitation (for instance, not on a study permit with hours of work limitation or on a work permit that ties you to a specific employer)?

Select...

If your answer to the above question is “No” or if you are unsure how to answer the above question, please provide a full explanation below including information relating to your ability to work in the country of the role which you are applying, information relating to the type of work permit you are on (if applicable) and its validity dates (start and end dates), and any other relevant information. If your answer to the above question is "Yes", please enter "N/A" into the text box below.

By submitting this application form, you acknowledge (1) that the information provided by you is accurate to the best of your knowledge, and (2) that a job offer or any employment provided to you by Connor, Clark & Lunn Financial Group is contingent on you having provided accurate information. Any information provided that is incorrect may impact the hiring decision. If the inaccuracy of any information is discovered after you are offered employment, your employment offer may be rescinded. If the inaccuracy of any information is discovered after you are hired, your employment may be terminated with immediate effect.

Select...

Compliance Specialist

Apply for this job