Remote Compliance Analyst | Impactful Regulatory Oversight

QWealth Partnership; Toronto; Remote; CAD 65.000 - 95.000; Vollzeit

Zusammenfassung

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.

Qualifikationen

• 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.

Aufgaben

• 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.

Kenntnisse

Strong technical aptitude

Problem-solving skills

Verbal and written communication

Remote work communication

Ausbildung

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

Jobbeschreibung

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.