About This Role
This Compliance Analyst role offers an exciting opportunity to join a growing partnership of Canadian Portfolio Managers and contribute to the Compliance Team. You will work with the Chief Compliance Officer to help implement the compliance program across the partnership, ensuring adherence to applicable regulations, policies, and legislation.
Responsibilities
- Assist with maintaining documented evidence for policies and procedures listed in QW
- Maintain a current inventory of conflicts and Relationship Disclosure Information
- Collect and store employee compliance documents, including 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 the 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
Requirements
- Strong technical aptitude and the ability to quickly master new technologies, systems, and workflows with minimal training
- Proactive problem-solving skills to understand root cause, define options, make pragmatic recommendations related to complex issues, and 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
- 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
Nice to have:
- Working knowledge of the PM and IFM regulatory environment and NI 31-103
- Relevant experience in an analytical or technical role within a regulatory function
