Use Canadian securities expertise to manage registrations, regulatory obligations, and compliance records for Q Wealth Partners from a remote work environment.
As Senior Compliance Analyst, you will oversee securities compliance activities while supporting examinations, audits, training, and corrective actions. The role requires proactive ownership, careful documentation, robust communication, and the ability to balance daily obligations with longer-term initiatives. You will also support junior compliance staff and coordinate employee training through the firm’s LMS.
Key Responsibilities
Coordinate individual registrations through the National Registration DatabaseMaintain compliance records and employee personal trading informationUpdate policies, procedures, controls,
and training materialsCoordinate employee training delivery with Communications through the LMSGuide junior staff and support Compliance function effectivenessRequirements:
Minimum 10 years’ relevant Canadian investment management compliance experienceKnowledge of securities regulations and compliance best practicesStrong written and verbal communication skillsAbility to manage competing priorities and meet deadlinesProactive, self-motivated, solutions-oriented approachSupport Q Wealth Partners with securities compliance expertise, accurate records, regulatory coordination, and clear communication across obligations.
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