Regulatory Operations Associate
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Job Location:
Monthly Salary:
Posted on:
10 hours ago
Vacancies:
1 Vacancy
Job Summary
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 Regulatory Operations Associate to grow our Operations Team. You will report to the Associate Director Communications & Operations. The Regulatory Operations Associate supports Q Wealths compliance and operations infrastructure by executing high-volume regulatory control processes
Key Responsibilities
Complete New Client Account Reviews to ensure compliance with regulatory requirements and follow up with Portfolio Managers and support staff for outstanding items as required.
Assist with the review of required Know Your Product (KYP) assessments to check for completeness and follow up with Portfolio Managers as required for outstanding items.
Notify and follow up with Portfolio Managers on KYCs approaching expiry.
As directed by the manager assist with maintaining and creating training documentation related to regulatory operational items.
Assisting with testing new features to help process improvements for regulatory operational functions in our compliance onboarding system QCentral.
Help with updates needed to regulatory documentation as required.
Assist with ad hoc operational and compliance projects as required.
Assist the department with any other function necessary to support the client onboarding and maintenance operational compliance function at Q Wealth.
Specific Qualifications
Undergraduate degree in Business Economics Finance or equivalent.
1-3 years of work experience in the financial services industry.
Experience working in an operational or compliance function with a firm registered as Portfolio Manager Investment Fund Manager or CIRO registered dealer is considered an asset.
What Do You Need to Succeed
Comfortable in a fast-paced and agile environment where constant change and improvement is the norm.
Superior verbal and written communication skills.
Ability to work and communicate effectively in a remote work environment.
Ability to handle numerous operational tasks and projects concurrently with minimal supervision.
Comfortable multi-tasking and managing multiple priorities.
Mindset of innovation and continuous improvement.
Willingness to assist other departments at Q Wealth HQ and gain exposure to other areas of the business if capacity allows.
Be a team player as part of a growing company being willing to take on new things as the needs of the business evolve.
Q Wealth Partners welcomes and encourages applications from candidates with disabilities. Accommodations are available on request for candidates taking part in the selection process. If you require disability-related accommodation during the recruitment process please contact Stacy Rouble at . Q Wealth Partners will consult with all applicants who request disability-related accommodation during the recruitment process to ensure that the accommodation provided takes into account the applicants individualaccessibilityneeds.
Required Experience:
IC
