Compliance Specialist

Role overview

Responsibilities

• Support compliance projects and development or revision of policies, procedures, and guidelines.
• Support system transitions, including APX and Salesforce record reconciliation and compliance case development.
• Identify process improvements using automation and approved AI tools; deliver staff training and participate in cross-functional meetings.
• Support and review regulatory filings, inquiries, reviews, and audits; cross-reference disciplinary notices and maintain registrant listings.
• Review outside activities, gifts and entertainment, conflicts of interest, employee attestations, and referral arrangements.
• Review account limits and higher-risk clients; generate KYC reports and review client files.
• Assist with CRS, FATCA, and Form 45-106 reporting; check marketing materials, conduct audits, answer compliance questions, and monitor regulatory changes.

Requirements

• At least two years of related experience, ideally in compliance, finance, or operations at a financial or investment firm.
• Undergraduate degree; Canadian Securities Course or CFA Level 1 coursework is listed as an example of industry-specific coursework.
• Familiarity with NI 31-103 and regulatory rules from the OSC, BCSC, AMF, and FINTRAC.
• Practical experience with AI productivity tools such as Microsoft Copilot or similar.
• Collaborative communication, analytical problem-solving, attention to detail, and ability to work under pressure and meet strict deadlines.

Workplace

• The office operates on a hybrid model with a combination of in-office and remote days throughout the week.

Compensation

• Expected base salary range is $70,000–$80,000 per year; actual starting salary may vary with experience, skills, qualifications, and internal equity.