Compliance Analyst

QWealth Partnership; Toronto; Remote; CAD 65,000 - 95,000; Full time

Job summary

QWealth Partnership is seeking a Compliance Analyst to join our growing Compliance Team in Canada. You will work with the Chief Compliance Officer to support the compliance program across the partnership and help ensure adherence to applicable regulations, policies, and legislation.

You will assist with maintaining policies, conflicts inventory, and employee compliance documentation, while conducting reviews of marketing content and client AML/CTF procedures.

Qualifications

• Strong technical aptitude and ability to master new technologies.
• Proactive problem-solving and root-cause analysis.
• Comfortable in a fast-paced, agile environment and self-teaching.

Responsibilities

• Maintain documented evidence for policies and procedures listed in QW’s compliance calendar which lists all compliance obligations during the year.
• Maintain 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.

Skills

Strong technical aptitude

Problem-solving skills

Verbal and written communication

Remote work communication

Education

Undergraduate or advanced degree in finance, economics, business, or equivalent

Job description

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:

• 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.
• 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