749 Compliance jobs in Canada

Compliance Specialist

Connor, Clark & Lunn Private Capital

Toronto, ON

We are looking for a Compliance Specialist to join our Private Capital Compliance team. Reporting to the Chief Compliance Officer, you will support the overall compliance function of the business. You will be one of the primary resources for the firm's Wealth Advisors, Associates and Regulators. This is a content heavy position that will require a deep understanding of the business and the ability to manage a high volume of information flowing from both internal and external sources.

What You Will Do

• Provide compliance-related project oversight and support,
• Assist in development or revision of policy and procedure documentation and guidelines
• Support for system/application transition e.g. records' reconciliation between APX and Salesforce, development of Compliance cases
• Deliver compliance-related training to staff
• Actively participate in Compliance Team meetings with AMIX, Operations and .
• Provide support for and review regulatory filings and reviews such as Pooled Fund Filings, OSC Investment Fund Survey, and Risk Assessment Questionnaires, other regulatory inquiries and audits
• Cross reference disciplinary notices provided by regulatory bodies
• Maintain a registration listing of the company's individual registrants
• Review and maintain referral arrangements to ensure compliance with the requirements of National Instrument "NI 31-103")
• Review accounts quarterly to ensure that non-resident investments are within allowable limits
• Review medium and high-risk clients for suspicious activity
• Know Your Client ("KYC") – generate quarterly reports for registered staff (Wealth Advisors) and conduct weekly follow up's
• Review client files to ensure they are accurate and complete
• Assist with Common Reporting Standard ("CRS") and Foreign Account Tax Compliance Act ("FATCA") reporting
• Ensure marketing materials are reviewed to ensure compliance with applicable legislation
• Perform regulatory compliance checks/spot audits to guarantee continuous regulatory compliance
• Responsible for answering compliance-related questions to provide regulatory guidance regarding our products and services
• Stay up-to-date with regulatory changes

What You Bring

• Experience: You have a minimum of one year of related work experience, ideally in compliance, finance, or operations from a financial and/or investment firm.
• Education: You have an undergraduate degree and industry-specific coursework (Canadian Securities Course, CFA Level 1).
• Knowledge: You are familiar with NI and rules set by regulatory authorities such as the Ontario Securities Commission ("OSC"), British Columbia Securities Commission ("BCSC"), Autorité des marchés financiers ("AMF"), and Financial Transactions and Reports Analysis Centre of Canada ("FINTRAC").
• Collaborative Communication: You have a collaborative, team player spirit that helps you work well with others and communicate effectively.
• Analytical & Strategic: You possess an analytical mind and enjoy solving problems with an eye for detail.
• Time Management: You have the ability to work efficiently under pressure, both individually and as part of a team, dealing with changes and interruptions while maintaining strict deadlines.

About Connor, Clark & Lunn Private Capital:

CC&L Private Capital is part of Connor, Clark & Lunn Financial Group Ltd. CC&L Financial Group, one of Canada's largest privately owned asset management firms. With more than 40 years of history and offices across Canada and in the US, the UK and India, CCL&L Financial Group and our multi-boutique family of affiliate firms collectively manage over $155 billion in assets, providing a diverse range of traditional and alternative investment products and solutions to institutional, high-net-worth and retail clients.

CC&L is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to gender, ethnicity, religion, sexual orientation or expression, disability, or age.

To apply for this position, please submit your resume and cover letter combined as one PDF document.

We thank all applicants in advance for their interest, but only those candidates shortlisted for interviews will be contacted. No telephone calls or recruitment agencies will be accepted.

About Dialectica

Dialectica is a B2B information services firm that serves the world's top consultancies, hedge funds, private equity firms, and corporations – delivering products and services to our clients that provide critical insights from industry experts around the world to help inform better business and investment decisions.

Driven by our mission to accelerate the shift to a more prosperous society by empowering better decision making, we are building the most trusted and innovative knowledge-sharing platform in the world. To do that, we believe in supporting our people to do their best work and grow in their careers, by building a dynamic, empowering, and respectful workplace. That's why Dialectica has been recognized as one of Europe's fastest-growing companies by the Financial Times for four years in a row, a Top Employer for Recent Graduates by The Career Directory in Canada for the last three consecutive years and has been officially certified by Great Place to Work for 2025.

With a global presence spanning five offices across four continents and a highly-trained team of over 1,400 employees, we are looking for individuals who share our belief that our work transcends individual and organizational benefits, contributing significantly to the collective advancement of society.

About the role

We are hiring a Compliance Associate to join our Legal & Compliance Department's team in Montreal. This is a rare opportunity for a highly-motivated individual with an interest in the intersection of regulatory compliance, technology and information services, to be a part of an important team in a rapidly growing company. Working as a part of our Compliance Operations Team, our Compliance Associates manage a variety of challenging tasks, including monitoring ongoing projects, KYC analysis, drafting policies and procedures, conducting internal training across the company, and performing risk assessments. You will be instrumental in facilitating client requests, supporting our core business strategy, and ensuring that employees across the globe are able to provide safe and compliant products and services to our clients.

Requirements

Key Responsibilities

• Implement day-to-day compliance operations, including monitoring active projects and performing risk assessments to flag and mitigate potential risks.
• Respond diligently to requests from the Client Service Team, providing subject matter expertise on compliance best practices.
• Draft and implement new policies and procedures to enhance the quality of our product and service delivery.
• Develop and deliver training materials to ensure all Client Service Team members are sufficiently educated on compliance issues.
• Collaborate with global team members on long-term projects to develop and uphold industry standards.

Qualifications

• An undergraduate degree is required. Studies in Business, Law, or Risk Management are preferred, but we encourage applicants from diverse fields such as Social Sciences, Journalism, and Humanities to apply.
• 1-2 years of experience in fields related to compliance are an asset, not a requirement.
• Excellent verbal and written communication skills.
• Exceptional organizational and problem-solving skills with a strong attention to detail.
• Genuinely interested in professional ethics, integrity, and a commitment to improving internal quality standards.
• Fluency in English (both verbal and written) is required, proficiency in French preferred; proficiency in an additional language is an asset.
• Proficient use of MS Office and Google Suite.

Benefits

• High-Growth Environment: Opportunity to work with a supportive, creative, and passionate team in a high-growth environment that offers new challenges and opportunities.
• Professional Development: Access to learning and development programs sponsored by the company.
• Competitive Compensation: We offer competitive pay and benefits.
• Wellbeing: A comprehensive wellbeing program that includes allowances, flexible days, and volunteering days.
• Culture: We foster a positive work environment based on respect, teamwork, 360 degree collaboration and feedback , and voluntary team bonding activities and various company-wide events.

Dialectica is an Equal Opportunity Employer. Dialectica does not discriminate on the basis of race, religion, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by applicable law.

Not sure if you have it all? Apply anyway At Dialectica, we strive to create an inclusive work environment, and we welcome candidates with different experiences and backgrounds.

The company recruits experts from all over the world in all industries for its clients primarily located outside Quebec, with the support of the company's other offices located outside Quebec with which interaction is constant. Accordingly, knowledge of English is required for this position. Knowledge of French is required for positions permanently located in Quebec so incumbents can communicate with their colleagues and suppliers in Quebec as necessary. French-language training will be offered to all incumbents in permanent positions in Quebec who do not have a good knowledge of French.

(EXTERNAL)

2025SEP17

COMPLIANCE COORDINATOR

Lethbridge Police Service

(Full-Time - Permanent)

Please note only applications submitted through the Bamboo HR link below will be accepted. Applications submitted through City of Lethbridge website or other third-party sites, will not be considered

The City of Lethbridge ( ) proudly acknowledges that we are located at the heart of Siksikaitsitapi (Blackfoot) Territory, home of Kainai, Piikani, Siksika and Amskapi Piikani (Montana, USA) First Nations. Lethbridge is also located within the Métis Nation of Alberta, Region III. Lethbridge is southwestern Alberta's largest community, close to the Rocky Mountains and strategically located two hours south of Calgary. We are home to just over 111,000 residents and two major post-secondary institutions - the University of Lethbridge and Lethbridge Polytechnique. The City of Lethbridge recognizes the diversity of our community and is working to ensure programs, services, facilities, and employment opportunities are inclusive to all people.

The Lethbridge Police Service is seeking a detail-oriented, collaborative, and mission-oriented Compliance Coordinator to join our team. In this permanent fulltime role, you will help ensure our agency meets and exceeds our organizational requirements set forth in the Provincial Policing Standards - supporting transparency, accountability, and public trust.

If you are passionate about policy, systems, and making a meaningful impact behind the scenes, we would love to hear from you

This position assists the service by providing oversight to policy and the policing standards, internal training and education of users, as well as reporting and liaison duties. This role offers exposure to and collaboration with executive leadership as well as opportunities for inter-agency collaboration.

This permanent full-time position falls under the protection of a collective agreement associated to the Canadian Union of Public Employees (CUPE) Local 70 contract. CUPE Local 70 represents employees who are employed in number of civic departments within the City of Lethbridge.

Wage: $38.31 per hour |2025 Rate (Wage Under Review)

Hours: Monday to Friday, 37.5 hours per week

(Flexible/Compressed Work Week is available)

The City of Lethbridge offers a competitive and flexible compensation package including a generous health care spending account and a defined benefit pension plan (LAPP).

As the Compliance Coordinator you will:

• Plan, coordinate and manage agency compliance activities
• Manage, maintain and update current compliance files of the agency using an electronic document management system
• Identify and verify compliance with established law enforcement standards, correcting any noted deficiencies through policy, training, or other administrative measures
• Establish and maintain effective communication with the Policing Standards & Audits Section and Alberta Ministry of Public Safety & Emergency.
• Complete and submit required reports, proofs and forms to the Policing Standards & Audits Section
• Serve as the agency's liaison to the Policing Standards & Audits Section, as well as compliance professionals of other law enforcement agencies for all compliance matters
• Assist in preparing and/or reviewing all new and existing agency policies, directives and manuals to ensure compliance with the Alberta Provincial Policing Standards
• Participate in regular meetings with the Chief and the Executive leadership team on compliance and policy related matters
• Provide instruction and education to supervisors regarding required proof documentation and to improve understanding of the compliance process as it relates to policy and procedures
• Attend periodic meetings and conferences, professional workshops, and training relating to compliance and the Alberta Provincial Policing Standards
• Coordinate on-site and remote Alberta Provincial Policing Standards assessments and inspections in a manner that enables the agency sufficient time and resources to achieve professional compliance
• Develop compliance related training to agency personnel
• Maintain contact with other law enforcement agencies in order to discover improved compliance methods and/or policies and procedures
• Assist in administrating the technical components for system and data configuration of PowerDMS (Document Management System)

As the successful candidate, you will have:

• Two-year post-secondary diploma in a related field and/or several years of related work experience
• Strong working knowledge of the Alberta Provincial Policing Standards and the compliance process. Compliance or regulatory knowledge and experience in other sectors may be considered.
• Thorough knowledge of the Lethbridge Police Service policies, procedures and practices
• Working knowledge of the organizational structure of the Lethbridge Police Service
• Familiarity with the Criminal Code and other federal and provincial statutes
• Ability to understand and interpret rules, regulations and policies
• Ability to communicate and articulate effectively, both orally and in writing
• Ability to multi-task and work under minimum supervision
• Ability to maintain a high level of discretion, integrity and confidentiality
• Ability to develop and maintain timelines
• Working knowledge of document management software programs, as well as, Microsoft Office applications. Previous experience with PowerDMS would be considered an asset.

The successful candidate is required to consent to a police security clearance, which includes the voluntary completion and submission of a personal disclosure form (lifestyle questionnaire), criminal and police records check, reference checks and truth verification through polygraph examination.

STEPS OF HIRING PROCESS

• Resumes will be reviewed for relevant qualifications, education, experience, training and skills

• Selected applicants will be contacted to complete a Personal Disclosure Form and Security Clearance Declaration (applicable to applicants outside of LPS)

• Competitive applicants will be contacted for a Behavioral Descriptive Interview

• Completion of a satisfactory police fingerprinting check (applicable to applicants outside LPS)

• Successful completion of a Polygraph Examination Procedure (applicable to applicants outside LPS)

• Security Clearance Check will be conducted (applicable to applicants outside LPS)

• Reference verification of a minimum of three professional references (applicable to applicants outside LPS)

• A successful candidate(s) will be selected and offered the position

• All components of the selection process will be administered, scored, evaluated and interpreted in a fair and uniform manner

• Duration of the hiring process may take approximately two to three months

Qualified candidates are invited to submit their resume with cover letter, online via the bamboo HR link posted above.

Submissions will be accepted until Tuesday October 14, 2025 at 4:00PM MST.

For further information on this opportunity, please contact: Inspector Robin Klassen, Support Services Division at

**Please note only applications submitted through the Bamboo HR link above will be accepted. Applications submitted through City of Lethbridge website or other third party sites, will not be considered**

Facility Dogs

As a prospective employee it is important for you to know that LPS has two facility dogs in the workplace. LPS facility dogs are here to support our employees in positive, constructive manner. Further, LPS facility dogs support the emotional needs of victim's and or witnesses through the Criminal Justice Process. A Facility Dog is directed by a professional with specialized expertise. Facility dogs frequent many areas of our building. In addition, we have police service dogs. Our police service dogs have minimal interaction with employees on site under the supervision of a trained handler.

Landed Immigrant/Citizenship Status Canada

The Lethbridge Police Service welcomes employment applications from those who are currently Canadian Citizens or Canadian Permanent Residents. We require a significant background screening process to obtain a successful security clearance as a condition of employment with our agency. As an employer, we are unable to sponsor Canadian Work Permits/Visas or Permanent Residence applications at this time.

Work Location

LPS employees are required to carry-out their assigned duties in-person at a Lethbridge Police Service facility. Our Lethbridge Police Service Headquarters are located at 135 1st Avenue South Lethbridge, AB T1J 0A1**

"THE CITY OF LETHBRIDGE IS AN EQUAL OPPORTUNITY EMPLOYER"

We thank all applicants in advance for their interest.

We will only contact individuals selected for interviews.