Private Capital Compliance Specialist
Connor, Clark & Lunn Financial Group (CC&L)
Support private capital compliance at Connor, Clark & Lunn Financial Group through regulatory knowledge and detailed information management. Work within a hybrid office and remote model throughout the week.
Reporting to the Compliance Manager, you will support the business’s overall compliance function. As a primary resource for Wealth Advisors, Associates, and Regulators, you will manage high volumes of internal and external information. The work includes NI 31-103, regulatory filings, client reviews, and compliance guidance.
Key Responsibilities:
- Provide compliance-related project support
- Develop or revise policies, procedures, and guidelines
- Review regulatory filings, inquiries, reviews, and audits
- Maintain registrant listings and review employee attestations
- Answer compliance questions and provide regulatory guidance
Requirements:
- Minimum two years of related experience
- Undergraduate degree and industry-specific coursework
- Familiarity with NI 31-103 and Canadian regulators
- Analytical, detail-oriented problem-solving approach
- Practical experience with AI productivity tools
Bring regulatory expertise, analytical judgment, and information management skills to private capital compliance at Connor, Clark & Lunn.
#J-18808-LjbffrVacancy posted 4 hours ago
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