Role Overview: This is an exciting opportunity to join a dynamic and rapidly growing partnership of Canadian Portfolio Managers. We are looking for an enthusiastic Compliance Analyst to grow our Compliance Team. You will work with the Chief Compliance Officer to assist with implementing aspects of the compliance program across the partnership. The Compliance Team is responsible for ensuring compliance with the regulations, policies, and legislation applicable to Q Wealth.
If you’ve ever wanted to take ownership of work with visible impact and be surrounded by a close-knit, transparent, and driven team of people just like you, Q Wealth could be your new home.
Key Responsibilities: Assist with maintaining documented evidence for policies and procedures listed in QW’s compliance calendar which lists all compliance obligations during the year
Assist with maintaining a current inventory of conflicts and Relationship Disclosure Information
Collect and store employee compliance documents – Personal Trading, compliance manual receipts and acknowledgement forms
Monitor employee personal trading transactions
Conduct compliance reviews of all marketing material and online content
Conduct monthly Anti-Money Laundering and Anti-Terrorism review of clients
Assist with NRD registrations for individual applicants
Assist in creation of new training materials
Maintain internal operational policies and procedures
Work with the IT department to assist with supervision of the annual cybersecurity assessment
Assist with third-party due diligence requests and regulatory surveys
Support review requests by regulators, such as the OSC and FINTRAC
Support the external auditor on an annual basis
Assist the department with any other function necessary to support the compliance function at Q Wealth
What do you need to succeed: Solid technical aptitude and the ability to quickly master new technologies, systems, and workflows with minimal training would be critical to a candidate’s success in this position.
Proactive problem-solving skills to understand root cause, define options and make pragmatic recommendations related to complex issues, follow through to resolution.
Comfortable in a fast-paced, agile environment with ability to self-teach
Superior verbal and written communication skills
Ability to work and communicate effectively in a remote work environment
Mindset of innovation and continuous improvement
Able to handle numerous operational tasks and projects concurrently, with minimal supervision
Proven adaptability to meet deadlines and manage priorities in a continually changing environment
Specific qualifications: Undergraduate or advanced degree in finance, economics, business, or equivalent
3-5 years work experience in a compliance function with a firm registered as Portfolio Manager or Investment Fund Manager
Working knowledge of the PM and IFM regulatory environment and NI 31-103 would be an asset
Relevant experience in an analytical or technical role within a regulatory function