Compliance Manager (15-Month Contract)
Posted on Jan. 28, 2025 by Connor, Clark & Lunn Financial Group
- Toronto, Canada
- N/A
- Contract
Compliance Manager (15-Month Contract)
Connor, Clark & Lunn Private Capital
Toronto, ON
We are looking for a Compliance Manager to join our Toronto-based PCM Compliance team for a period of 15 months. Reporting to the Vice President of Compliance, you will support the overall compliance function of the business. You will be the primary resource for the sales team (CRMs), associates and regulators when they have questions about compliance. 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.
What You Will Do
- Work closely with the Chief Compliance Officer to oversee the compliance program and report findings of regular compliance reviews
- Assess and analyze the regulatory and legislative environment to identify emerging issues and the need to make changes to policies and procedures
- Review and assign ad hoc requests to compliance team, maintain joint inbox, and oversee deliverables
- Act as a principal consulting and advisory resource for Wealth Advisors and Associates
- Act as a principal compliance liaison with Technology, Operations, Training, Investment, and Legal teams in the development and assessment of new and changing products and services
- Assist to develop and deliver annual and periodic compliance training on regulatory developments, such as client focused reforms, obligations of a registrant, etc. Review and maintain referral arrangements to ensure compliance with the requirements of NI 31-103.
- Preparation and review of regulatory filings including: biennial FINTRAC audits, OSC Risk Assessment Questionnaires, BCSC Risk Assessment Questionnaires, Pooled Fund Filings, FATCA/CRS filings
- Review of marketing and promotional materials (weekly market updates, RFPs, etc.) to ensure compliance with market conduct and regulatory requirements
What You Bring
This is a hands-on role that requires broad knowledge about Connor, Clark & Lunn Private Capital, excellent organization skills, attention to detail and strategic judgment. Candidate requirements include:
- At least three years of related work experience, ideally in compliance, finance, or operations for a financial services firm or investment management firm.
- Experience or working knowledge of the securities regulatory regime in Canada as it relates to both registrants and issuers (NI 31-103). Knowledge of FINTRAC, FATCA/CRS regulations.
- Proficiency in Excel
- An undergraduate degree (or equivalent). Industry-specific coursework (Canadian Securities Course, CCO exam, CFA Level 1 and familiarity with the investment management business is an asset.
- Positive, get-things-done attitude with demonstrated experience influencing others.
- Exceptional attention to detail
- Outstanding analytical and problem-solving abilities
- Proven ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines.
- Excellent verbal and written communication skills and experience working with people at all levels in an organization.
- Proven ability to engage in critical thinking and problem solving.
About Connor, Clark & Lunn Financial Group
At Connor, Clark & Lunn 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 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, Indigenous communities, not-for-profits and charitable foundations. The firm is currently responsible for approximately $17 billion in client assets.
For a closer look at how you can build your career with us, we invite you to explore
https://cclfg.cclgroup.com/careers/opportunities/
For more on CC&L Private Capital:
https://cclprivatecapital.com/
CC&L 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.
To apply for this position, please submit your resume and cover letter as one PDF.
We thank all applicants in advance for their interest, but only those candidates shortlisted for interviews will be contacted. No telephone calls or recruitment agencies will be accepted.
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Advertised until:
Feb. 27, 2025
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