Senior Securities Compliance Specialist

Use Canadian securities expertise to manage registrations, regulatory obligations, and compliance records for Q Wealth Partners from a remote work environment.

As Senior Compliance Analyst, you will oversee securities compliance activities while supporting examinations, audits, training, and corrective actions. The role requires proactive ownership, careful documentation, strong communication, and the ability to balance daily obligations with longer-term initiatives. You will also support junior compliance staff and coordinate employee training through the firm’s LMS.

Key Responsibilities:

• Coordinate individual registrations through the National Registration Database
• Maintain compliance records and employee personal trading information
• Update policies, procedures, controls, and training materials
• Coordinate employee training delivery with Communications through the LMS
• Guide junior staff and support Compliance function effectiveness

Requirements:

• Minimum 10 years’ relevant Canadian investment management compliance experience
• Knowledge of securities regulations and compliance best practices
• Strong written and verbal communication skills
• Ability to manage competing priorities and meet deadlines
• Proactive, self-motivated, solutions-oriented approach

Support Q Wealth Partners with securities compliance expertise, accurate records, regulatory coordination, and clear communication across obligations.