Compliance Analyst
- Toronto, ON, Canada
Full-time
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Job details
- Job type
- Full-time
- Apply by
- Experience
- 3-5 years work experience in a compliance function with a firm registered as Portfolio Manager or Investment Fund Manager
- Posting language
- English
- Posted
Original 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
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
- 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
- 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
More about this job
Responsibilities
Support the Chief Compliance Officer in implementing and maintaining the firm’s compliance program, including monitoring employee trading, reviewing marketing content, and conducting monthly anti-money laundering and anti-terrorism client reviews. Maintain compliance records and policies, assist with registrations and cybersecurity assessments, and support regulatory requests, due diligence, and the annual external audit.
Requirements
Requires an undergraduate or advanced degree in finance, economics, business, or an equivalent field, along with 3–5 years of compliance experience at a firm registered as a Portfolio Manager or Investment Fund Manager. Strong technical aptitude, communication, problem-solving, adaptability, and the ability to manage concurrent tasks are important; knowledge of the Portfolio Manager and Investment Fund Manager regulatory environment and NI 31-103 is an asset.
Skills
- Compliance Monitoring
- Regulatory Compliance
- Anti-Money Laundering
- Anti-Terrorism Compliance
- Personal Trading Monitoring
- Marketing Material Review
- Conflict Management
- Regulatory Reporting
- Due Diligence
- Cybersecurity Assessment
- Policy and Procedure Maintenance
- Problem-Solving
- Written Communication
- Verbal Communication
- Prioritization
- Adaptability
Visa sponsorship
Not detected in the job text
Categories
- Finance & Accounting
- Legal
- Data & Analytics
Keywords
- Compliance Program
- Chief Compliance Officer
- Portfolio Manager
- Investment Fund Manager
- NI 31-103
- Canadian Securities Regulation
- Compliance Calendar
- Policies and Procedures
- Conflicts of Interest
- Relationship Disclosure Information
- Personal Trading
- Anti-Money Laundering
- Anti-Terrorism
- Marketing Compliance
- NRD Registrations
- Cybersecurity Assessment
- Third-Party Due Diligence
- Regulatory Surveys
- OSC
- FINTRAC
- External Audit
- Regulatory Reviews
- Finance
- Economics
- Business
- Remote Work