Compliance Specialist (CSC)

Recrute Action•Montreal, QC

1d•Hybrid

About The Position

Work in a dynamic securities compliance environment where collaboration, innovation, and advisor support are part of everyday operations. Enjoy a flexible hybrid work model, comprehensive benefits after the first few months, professional development opportunities, and access to modern technological tools, including enterprise AI solutions.

Requirements

Bachelor’s degree in finance or a related field.
CSC (Canadian Securities Course) or IFIC (Investment Funds in Canada) certification.
3 years of experience in a similar role, ideally within investments, securities, or banking.
Bilingual in English and French to communicate with advisors across Canada.
Strong proficiency with technology tools.
Ability to recommend improvements to optimize team efficiency.
Curiosity and confidence in professional interactions.
Ability to work in a collaborative environment.
Professional stability sought.

Nice To Haves

Branch Manager and Conduct & Practices Handbook courses considered assets.
Ongoing certification accepted if the exam is scheduled in the near future.
Experience with Univeris and Winfund platforms considered an asset.

Responsibilities

Act as the compliance contact for advisors.
Maintain relationships with advisors.
Review transactions to ensure regulatory compliance.
Follow up on monthly and quarterly reports related to advisor activities.
Review and approve advisor communications, including marketing and social media content.
Manage the outside activities process, including evaluation, approval, disclosure, and preparation of disclosure letters.
Ensure compliance with anti-money laundering requirements and personal data protection regulations.
Respond to advisor inquiries regarding transactions and compliance matters.
Identify trends during evaluations and recommend improvements to address gaps.
Participate in system improvement projects and the implementation of new regulations.
Manage a portfolio of approximately 40 to 60 advisors per specialist.
Approve marketing activities and suitability requirements.
Ensure compliance of action plans.

Benefits

Annual salary between 73K-83K, depending on experience.
Permanent full-time position, 37.5 hours per week.
Flexible schedule with start times between 7:30 am and 9:00 am and end times between 4:00 pm and 5:30 pm.
Hybrid work model with 3 days per week in the office, located in modern downtown Montréal offices.
2 remote workdays of your choice.
Office presence required on Wednesdays.
3 weeks of vacation, 5 sick days, and 1 personal day per year.
Comprehensive group insurance after 3 months, including medical, dental, and telemedicine coverage.
RRSP program with employer contribution after 3 months.
20% reimbursement of the OPUS transit card.
Free access to a gym.
Mental and physical wellness initiatives.
Participation in community projects.
Internal training and career growth opportunities.
Regular team-building and employee wellness activities.
Onboarding process including training, observation, and reverse shadowing during the first few weeks.
Daily supervision during the first 3 months.
Daily meetings with the compliance team and weekly meetings with the supervision team every Wednesday.
Access to technological tools, including enterprise ChatGPT.