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YouPotential

Compliance Analyst

Toronto, ON, Canada

Full-time

Within 25 km of Vaughan · About 22.9 km from the city centre

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Job details

Job type: Full-time
Apply by: Nov 15, 2026
Experience: 3-5 years work experience in a compliance function with a firm registered as Portfolio Manager or Investment Fund Manager
Posted: Oct 16, 2026

Original job description

Apply to Q Wealth Jobs

Job Board / Compliance Analyst

Compliance Analyst

hybrid

1860 Yonge Street, Toronto, Ontario, Canada, M2N 6L9

full-time . October 16, 2026

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

Know someone who would be a perfect fit? Let them know!

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More about this job

Responsibilities

Support the Chief Compliance Officer in maintaining Q Wealth’s compliance program, including its compliance calendar, policies, employee records, personal trading monitoring, marketing reviews, and registrations. Assist with training, cybersecurity assessments, due diligence, regulatory requests, and the annual external audit.

Requirements

The role calls for an undergraduate or advanced degree in finance, economics, business, or an equivalent field, plus 3–5 years of compliance experience at a firm registered as a Portfolio Manager or Investment Fund Manager. Strong technical aptitude, analytical problem-solving, communication, adaptability, and the ability to manage concurrent tasks are important; knowledge of the PM and IFM regulatory environment and NI 31-103 is an asset.

Skills

Compliance Monitoring
Regulatory Compliance
Personal Trading Surveillance
Marketing Material Review
NRD Registrations
Policy and Procedure Maintenance
Conflict of Interest Management
Cybersecurity Assessment Support
Third-Party Due Diligence
Regulatory Reporting
Analytical Problem-Solving
Technical Aptitude
Written Communication
Verbal Communication
Project and Priority Management
Adaptability

Visa sponsorship

Not detected in the job text

Keywords

Compliance Program
Compliance Calendar
Portfolio Manager
Investment Fund Manager
NI 31-103
Canadian Securities Regulation
OSC
FINTRAC
NRD
Personal Trading
Conflicts of Interest
Relationship Disclosure Information
Marketing Material Review
Regulatory Surveys
Third-Party Due Diligence
Cybersecurity Assessment
Compliance Training
Operational Policies and Procedures
External Audit
Regulatory Reviews

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