Posted 21 days ago
Compliance Analyst
@ Quintessence Wealth
Toronto, Ontario
Overview
Quintessence Wealth, a Canadian portfolio management partnership, is hiring a full-time Compliance Analyst to support its Compliance Team under the Chief Compliance Officer. The role covers compliance calendar evidence, conflicts and disclosure records, personal trading monitoring, marketing reviews and regulator and auditor support. The posting describes a remote-capable role requiring 3 to 5 years of compliance experience.
Responsibilities:
- Maintain evidence for compliance calendar policies and procedures
- Monitor employee personal trading transactions
- Conduct compliance reviews of marketing material and online content
- Support regulator reviews by the OSC and FINTRAC
- Assist with NRD registrations and compliance training materials
Requirements summary:
- Undergraduate or advanced degree in finance, economics or business
- 3-5 years in a compliance function at a registered portfolio manager or IFM
- Working knowledge of NI 31-103 would be an asset
- Strong technical aptitude and ability to learn new systems quickly
- Superior verbal and written communication skills
- Able to work effectively in a remote environment
Tools & skills
Source and dates
Source type not verified · humi
- Employer posting date
- 2026-10-16
- First seen by our source
- 2026-10-16
- Source record updated
- 2026-10-23
These dates describe the source record, not a live verification that the employer is still hiring. Check the original posting.
Job details
| Seniority | Mid level |
| Department | Finance & accounting |
| Experience | 3+ years |
| Hours per week | 40 (estimated) |
| Travel | air: none · ground: none |
| Work setting | Office |
| Position | Mostly sitting |
| Physical demands | physical low · computer high |
| Languages | English |
| Education | Bachelor’s degree (required) |
| Fields of study | finance, economics, business |
Summary and details written by AI from the posting; the employer’s posting is the authority.
Quintessence Wealth
| Field | Value |
|---|---|
| Open jobs on Jobsy | 9 |
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:
· 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
· 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
What do you need to succeed:
· 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
Specific qualifications:
· 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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