Compliance Specialist

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.

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