*Compliance Specialist (CSC)

Job Description Compliance Specialist (CSC) 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. What is in it for you: • 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. 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. What you need to succeed: • 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 Univeris 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. Why 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.