Project Regulatory Specialist

2 days ago
Edmonton AB, Edmonton Census Division, AB; Alberta, Canada QWealth Partnership Full-time
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. 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 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 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. Comfortable in a fast-paced, agile environment with ability to self-teach 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 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 #

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