Compliance Specialist

Job Description

Compliance Specialist (CSC)



Maximize your regulatory compliance impact within an independent leader in financial services. Key role involving transaction supervision, advisor support, and regulatory monitoring. Hybrid work environment located in downtown Montreal. Bilingualism required.



What is in it for you:




• Annual salary between $75.000 and $80.000, based on experience.


• Permanent full-time position.


• Flexible schedule with 2 remote work days per week.


• 3 weeks of vacation, 5 sick days, 1 personal day, and 2 days off during Christmas.


• Comprehensive group insurance (health, dental, health spending account, telemedicine, EAP), 50% employer-paid.


• Employer contributions to an RRSP program.


• 20% reimbursement of OPUS transit pass (equivalent to 2 free months per year).


• Regular social activities focused on health, well-being, and community engagement.


• Professional development opportunities and internal career progression.


• Modern offices located in downtown Montréal, easily accessible by public transit.



Responsibilities:




• Review daily advisor transactions to ensure compliance with regulatory standards.


• Analyze monthly and quarterly advisor activity reports and follow up accordingly.


• Review and approve advisor communications, including marketing materials and social media content.


• Manage the approval process for outside business activities, including assessment, disclosure, and drafting of disclosure letters.


• Ensure compliance with anti-money laundering practices and personal data protection requirements.


• Provide ongoing operational and regulatory support to advisors.


• Identify trends in assessments and recommend corrective actions or improvements.


• Participate in special projects related to system enhancements and the implementation of new regulations (e.g., OCRI, FINTRAC).



What you will need to succeed:




• Bachelor's degree in finance or a related field.


• Canadian Securities Course (CSC) certification.


• Supervisors Course for securities dealers (Canadian Securities Institute), an asset.


• Professional Conduct and Ethics course, an asset.


• 2+ years of experience in a similar role, ideally within the securities industry.


• Strong interpersonal skills with the ability to influence and guide advisors.


• Strong organizational skills with the ability to manage multiple priorities.


• Proficiency in Microsoft Office Suite.


• Knowledge of platforms such as Univeris, Winfund, or RBroker, an asset.


• Bilingual in English and French, required to review communications and respond to advisor inquiries in both languages.



Why Recruit Action?



Recruit Action (agency permit: AP provides recruitment services through quality support and a personalized approach to job seekers and businesses. Only candidates who match hiring criteria will be contacted.



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