*Compliance Specialist (CSC)

Compliance Specialist (CSC)

Description du poste

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.

Ce que nous offrons

• 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.

Responsabilités

• 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.

Qualifications

• Bachelor’s degree in finance or a related field.
• CSC (Canadian Securities Course) or IFIC (Investment Funds in Canada) certification.
• Branch Manager and Conduct & Practices Handbook courses considered assets.
• Ongoing certification accepted if the exam is scheduled in the near future.
• 3 years of experience in a similar role, ideally within investments, securities, or banking.
• Experience with Universis and Winfund platforms considered an asset.
• 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.

Pourquoi Recruit Action ?

Recruit Action (agency permit: AP-2504511) provides recruitment services through quality support and a personalized approach. As part of the screening process, some applications may be reviewed using artificial intelligence tools. Only candidates who meet the hiring criteria will be contacted.