Recruit Action inc.

*Compliance Specialist (CSC)

Recruit Action inc.  •  Montréal, CA (Hybrid)  •  20 days ago
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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.
Recruit Action inc.

About Recruit Action inc.

Our mission:

Recruit Action provides quality recruitment services through support and a personalized approach for both job seekers and businesses.

Doing business with Recruit Action ensures:

• Peace of mind

• Professional, personalized, and courteous service

• Follow-ups according to your needs (daily or weekly)

• A partnership

• Working with passionate head hunters who have a thorough knowledge of the job market

• Service focused on quality

Our success is linked to the success of both our corporate clients and job seekers, whom we consider as partners.

• We offer a specialized service and we understand the needs of our customers.

• We recognize that today's market is complex and requires personalized services.

• We understand the importance for companies to hire a person who shares the organization's values.

• We understand the importance for job seekers to find the job that’s right for them in the long term.

Industry
HR & Recruiting
Company Size
11-50 employees
Headquarters
Montréal, CA
Year Founded
2009
Website
recruteaction.com
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