Apply now

Posted 21 days ago

Compliance Analyst

@ Quintessence Wealth

Toronto, Ontario

Full-time3+ years experience
Apply now
SIGNALS

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

SeniorityMid level
DepartmentFinance & accounting
Experience3+ years
Hours per week40 (estimated)
Travelair: none · ground: none
Work settingOffice
PositionMostly sitting
Physical demandsphysical low · computer high
LanguagesEnglish
EducationBachelor’s degree (required)
Fields of studyfinance, economics, business

Summary and details written by AI from the posting; the employer’s posting is the authority.

Quintessence Wealth

FieldValue
Open jobs on Jobsy9
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:

· 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

Similar jobs

  • Compliance Analyst, Group Audit & Conduct

    Toronto, ON +1
    $52k–$65k/yrFull Time

    Wellington Altus Branding

    2+ YOEWellington-Altus needs candidates with a business, finance, accounting or similar diploma or degree, or equivalent experience, and 2 to 3 years in the financial services industry. Strong analytical skills, advanced Excel, and clear communication are required; CSC or CPH is preferred.

    Excel

    Compliance Analyst

    Calgary, AB +1
    $44k–$55k/yrFull Time

    Wellington Altus Branding

    2+ YOEWellington-Altus needs candidates with progressive experience at a CIRO dealer member or bank, knowledge of CIRO and provincial securities regulators, and skills in data analysis and risk management. Strong Microsoft Office and Power BI skills are needed, along with strong communication and organization.

    Power BI

  • Compliance Analyst - 6 month contract

    Toronto, ON
    Remote

    BeyondTrust

    Candidates need strong written and verbal communication skills and familiarity with NIST 800-53/800-171, ISO 27001 and SOC 2. Project management experience and proficiency in MS Office are also required. A bachelor's degree, CISSP or CRISC, and cloud or SaaS experience are preferred.

    Regulatory compliance, Risk management, Process improvement, Documentation, Communication skills, Security regulations

  • Compliance Analyst

    Toronto, ON
    $34/hrContract

    Insight Global: Insight Global is an international talent and consulting company that delivers business outcomes in an ever-changing world.

    4+ YOECandidates need 4 to 6 years of risk, compliance, audit, or control-testing experience, plus strong analytical, written, and verbal communication skills. Post-secondary education or equivalent experience is required, and the ability to work independently is essential.

    Regulatory compliance, Analytical skills, Manage quantitative data, Business processes, Documentation, Root cause analysis

  • Senior Compliance Analyst

    Toronto, ON
    Contract

    Quintessence Wealth

    10+ YOECandidates need at least 10 years of compliance experience in Canadian investment management or financial services, knowledge of Canadian securities regulations, and strong organization, communication and independent project management skills.

    National Registration Database (NRD)

  • Senior Compliance Analyst, Artificial Intelligence

    Toronto, ON
    Full Time

    Ontario Teachers' Pension Plan Board

    3+ YOECandidates need 3 to 5 years of experience in compliance, risk, audit, investigations or technology operations. Strong case-management, plain-language writing and sound escalation judgment are required, with AI and data governance knowledge gained through prior work.

    Regulatory compliance, Artificial intelligence, Risk management, Hazard assessment, Loss prevention, Cybersecurity

  • Senior Compliance Analyst, Asset Management

    Waterloo, ON

    Equitable CA

    3+ YOECandidates need a university degree in finance, business, accounting, economics or risk management, plus 3 to 5 years of investment compliance, audit, risk or asset management experience. Strong Excel, securities regulation knowledge and experience with portfolio systems such as Finbourne, Aladdin, SimCorp One or Charles River are required.

    Excel, Finbourne, BlackRock Aladdin, SimCorp One, Charles River IMS

  • Compliance Analyst

    Toronto, ON
    Full Time

    HomeEquity Bank: HomeEquity Bank (HEB) is Canada’s original and leading national provider of reverse mortgages, with over 40 years of service.

    5+ YOECandidates need 5-6 years of compliance or risk management experience at a regulated financial institution, strong analytical skills and hands-on use of GRC systems such as Resolver. A university degree in finance, accounting, business administration or law is preferred.

    Resolver, Microsoft Office Suite

Locations & environments

Locations

All of CanadaRemote · Hybrid · On-site · Field

Pro tip: add remote jobs to widen your search.

Exclude locations

Workplace type

Company jobs in these results

These are this company’s jobs loaded in your current search. The company may have more openings.