Senior Compliance Analyst

Role Overview:

Q Wealth Partners is seeking an experienced, highly motivated, and proactive Senior Compliance Analyst to join our Compliance team. The Senior Compliance Analyst will play a key role in the execution, oversight, and continuous improvement of the firm's regulatory compliance program. This position requires an individual who can work independently, exercise sound judgment, take ownership of complex compliance matters, and effectively manage multiple projects and regulatory obligations from initiation through to completion.

The successful candidate will be expected to go beyond identifying issues and completing assigned tasks by proactively developing solutions, coordinating with internal stakeholders, monitoring progress, and ensuring timely resolution. The role also requires strong organizational skills, attention to detail, and the ability to provide clear, timely, and meaningful reporting to Compliance management.

Key Responsibilities:

• Independently oversee and manage compliance obligations outlined our policies and procedures, ensuring timely completion, appropriate documentation, and adherence to regulatory requirements.
• Take ownership of assigned compliance projects and initiatives, establishing timelines, coordinating stakeholders, monitoring progress, and ensuring successful completion.
• Proactively identify compliance risks, deficiencies, and outstanding matters; recommend solutions and oversee corrective actions through to resolution.
• Maintain and oversee compliance records, including conflicts of interest, Relationship Disclosure Information, employee personal trading, and compliance acknowledgements.
• Coordinate individual registration activities through the National Registration Database (NRD), ensuring regulatory filings and ongoing requirements are completed accurately and on time.
• Lead or coordinate regulatory examinations, external audits, third-party due diligence requests, and cybersecurity assessments, including tracking findings and remediation activities.
• Review and enhance internal compliance policies, procedures, controls, and training materials to reflect regulatory developments and operational needs.
• Provide regular, proactive reporting to Compliance management on project status, regulatory obligations, outstanding deliverables, identified risks, and recommended actions.
• Develop and maintain project plans, timelines, milestones, and deliverables, ensuring responsibilities and expectations are clearly established.
• Collaborate with internal departments to ensure accountability, timely responses, and effective resolution of compliance matters.
• Identify and implement opportunities for process improvements, automation, and operational efficiencies to strengthen the firm's compliance program.
• Develop and update compliance training materials on regulatory obligations and internal policies and coordinate with Communications Team to deliver employee training through the firm’s LMS.
• Provide guidance and support to junior compliance staff and undertake additional responsibilities to support the overall effectiveness of the Compliance function.

What do you need to succeed:

• Minimum 10 years of relevant compliance experience within the Canadian investment management or financial services industry with a registered Portfolio Manager (PM), Investment Fund Manager (IFM), or CIRO Dealer.
• Strong knowledge of Canadian securities regulations, regulatory compliance obligations, and industry best practices.
• Demonstrated ability to independently manage projects, take ownership of responsibilities, and drive initiatives through to successful completion with minimal supervision.
• Proactive, solutions-oriented mindset with strong analytical and problem-solving skills to identify risks, assess root causes, and implement practical solutions.
• Exceptional organizational and time management skills, with the ability to manage competing priorities, meet deadlines, and consistently follow through on outstanding matters.
• Strong sense of accountability and sound judgment, with the ability to anticipate challenges ensuring that outstanding matters are actively monitored and resolved rather than simply identified or escalated.
• Excellent written and verbal communication skills, including the ability to provide clear, timely, and proactive progress reporting to management and stakeholders.
• Strong technical aptitude and ability to independently learn and adapt to new technologies, systems, and workflows.
• Ability to collaborate effectively across departments, coordinate stakeholders, and maintain accountability for project deliverables.
• Adaptable, self-motivated, and comfortable working independently in a fast-paced, evolving, and remote work environment.
• Commitment to continuous improvement, innovation, and enhancing the efficiency and effectiveness of compliance processes.

What Sets a Successful Candidate Apart?

• The ideal candidate is someone who takes initiative without waiting for direction, recognizes what needs to be done, and consistently follows through to completion.
• They demonstrate a strong sense of ownership, maintain visibility over their responsibilities, and proactively communicate progress, challenges, and solutions. They are comfortable managing both day-to-day regulatory obligations and longer-term initiatives, balancing attention to detail with an understanding of broader compliance objectives.
• Most importantly, they understand that effective compliance management requires more than identifying risks or completing individual tasks. It requires accountability, proactive oversight, effective coordination, and the ability to drive matters through to a documented and satisfactory resolution.