Regulatory Operations Associate

5 days ago

Toronto, Ontario, Canada Quintessence Wealth Full time

Role OverviewThis is an exciting opportunity to join a dynamic and rapidly growing partnership of Canadian Portfolio Managers. We are looking for an enthusiastic Regulatory Operations Associate to grow our Operations Team. You will report to the Associate Director, Communications & Operations. The Regulatory Operations Associate supports Q Wealth's compliance and operations infrastructure by executing high-volume regulatory control processes

Key Responsibilities· Complete New Client Account Reviews to ensure compliance with regulatory requirements and follow up with Portfolio Managers and support staff for outstanding items as required.· Assist with the review of required Know Your Product (KYP) assessments to check for completeness and follow up with Portfolio Managers as required for outstanding items.· Notify and follow up with Portfolio Managers on KYCs approaching expiry.· As directed by the manager, assist with maintaining and creating training documentation related to regulatory operational items.· Assisting with testing new features to help process improvements for regulatory operational functions in our compliance onboarding system, QCentral.· Help with updates needed to regulatory documentation as required.· Assist with ad hoc operational and compliance projects as required.· Assist the department with any other function necessary to support the client onboarding and maintenance operational compliance function at Q Wealth.

Specific Qualifications· Undergraduate degree in Business, Economics, Finance or equivalent.· 1-3 years of work experience in the financial services industry.· Experience working in an operational or compliance function with a firm registered as Portfolio Manager, Investment Fund Manager, or CIRO registered dealer is considered an asset.

What Do You Need to Succeed?· Comfortable in a fast-paced and agile environment where constant change and improvement is the norm.· Superior verbal and written communication skills.· Ability to work and communicate effectively in a remote work environment.· Ability to handle numerous operational tasks and projects concurrently, with minimal supervision.· Comfortable multi-tasking and managing multiple priorities.· Mindset of innovation and continuous improvement.· Willingness to assist other departments at Q Wealth HQ and gain exposure to other areas of the business if capacity allows.· Be a team player – as part of a growing company being willing to take on new things as the needs of the business evolve.

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