Compliance Specialist

Role overview

Workplace

• The offices operate on a hybrid model, combining in-office and remote working days throughout the week.

Responsibilities

• Provide compliance project support and help develop or revise policies, procedures, and guidelines.
• Support system and application transitions, including records reconciliation between APX and Salesforce and development of compliance cases.
• Identify opportunities to streamline compliance through automation and approved AI tools; deliver compliance training and participate in cross-functional meetings.
• Support and review regulatory filings, questionnaires, inquiries, and audits; cross-reference regulatory disciplinary notices.
• Maintain the individual registrant listing; review outside activities, gifts and entertainment, conflicts, employee attestations, and referral arrangements.
• Review accounts for non-resident investment limits, assess medium- and high-risk clients for suspicious activity, and generate quarterly KYC reports with follow-up.
• Review client files for accuracy and completeness; assist with CRS, FATCA, and Form 45-106 reports and review marketing materials for compliance.
• Perform regulatory compliance checks and spot audits, answer compliance questions about products and services, and stay current with regulatory changes.

Requirements

• At least two years of related experience, ideally in compliance, finance, or operations at a financial or investment firm.
• An undergraduate degree and industry-specific coursework, such as the Canadian Securities Course or CFA Level 1.
• Familiarity with NI 31-103 and rules set by OSC, BCSC, AMF, and FINTRAC.
• Practical experience using AI productivity tools such as Microsoft Copilot to improve efficiency, automate routine tasks, and support process improvements.
• Collaborative communication, analytical problem-solving, and attention to detail.
• Ability to work efficiently under pressure, independently and with a team, while meeting strict deadlines.

Compensation

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

Benefits and development

• Offerings include learning budgets, paid study days, support for professional designations, retirement savings support, wellness credits, enhanced parental leave, and health benefits.
• The employer describes flexible work practices, social events, volunteering, and a commitment to corporate social responsibility.