Drive regulatory compliance oversight at Q Wealth Partners using Canadian securities knowledge, project management, and sound independent judgment in a remote environment.
As a Senior Compliance Analyst, you will execute, oversee, and improve the firm's regulatory compliance program. Manage complex matters independently while coordinating stakeholders, monitoring obligations, and reporting clearly to Compliance management. This work supports timely, documented resolution of risks, deficiencies, and deliverables.
Key Responsibilities:
- Oversee compliance obligations, documentation, deadlines, and regulatory requirements
- Manage projects, timelines, stakeholders, milestones, and deliverables
- Identify risks, recommend solutions, and monitor corrective actions
- Coordinate NRD registrations, filings, examinations, and audits
- Report obligations, risks, progress, and recommended actions
Requirements:
- Minimum 10 years' relevant Canadian compliance experience
- Experience with a registered PM, IFM, or CIRO Dealer
- Strong knowledge of Canadian securities regulations
- Excellent organizational, analytical, and problem-solving skills
- Clear communication and ability to work independently remotely
Apply regulatory expertise, proactive oversight, and project ownership to strengthen Q Wealth Partners' compliance program and resolve obligations.
Senior Regulatory Compliance Analyst in Ottawa employer: Q Wealth Partners
At Q Wealth, we pride ourselves on being an exceptional employer that fosters a collaborative and supportive work environment in Saskatoon. Our commitment to employee growth is evident through robust operational support and innovative tools that empower our Portfolio Managers to build meaningful client relationships. Join us to thrive in your career while enjoying a culture of trust, transparency, and professional development.
