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.

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 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

Assist the department with any other function necessary to support the compliance function at Q Wealth

Strong 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.

Comfortable in a fast-paced, agile environment with ability to self-teach

Ability to work and communicate effectively in a work from home environment

Mindset of innovation and continuous improvement

Able to handle numerous operational tasks and projects concurrently, with minimal supervision

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

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📌 Remote Compliance Officer (Montreal)
🏢 QWealth Partnership
📍 Montreal