Compliance Analyst

Kinsted Wealth is a mid-sized Calgary based discretionary portfolio management firm. The company was founded in 2003, with the vision of delivering wealth counselling better than has ever been done before. We strive to achieve this goal daily by offering clients access to a diverse set of investments that go beyond the conventional stock and bond portfolio. Our efforts include minimizing conflicts of interest, comprehending our clients' goals, and collaborating with their other advisors to recognize and address their evolving wealth needs.

Department: Compliance

Location: Calgary, AB (hybrid)

Reports to: Chief Compliance Officer

Employment type: Full-time

Position Overview

The Compliance Analyst plays a key role in supporting Kinsted Wealth's regulatory and compliance obligations as a discretionary portfolio manager. In this position, you will help ensure client-facing materials, marketing communications, and account documentation meet applicable regulatory standards, and support the firm's ongoing regulatory filings and examination readiness.

This role is ideal for a detail-oriented professional who enjoys working across teams to translate regulatory requirements into practical, everyday processes.

Key Responsibilities

Regulatory Reviews & Filings

• Conduct compliance reviews of client-facing materials and internal processes
• Support preparation and review of regulatory filings.

Marketing & Advertising Compliance

• Review marketing and advertising materials for compliance with CSA National Instruments, Competition Bureau standards, and privacy legislation.
• Work with the Marketing team to identify and resolve compliance issues before materials are published or distributed.

KYC & Suitability

• Conduct KYC and suitability audits on client accounts.
• Identify and escalate documentation gaps or suitability concerns to the appropriate team.

Regulatory Filings & Exam Support

• Support the CCO in preparing for regulatory filings and examinations.
• Maintain compliance records and documentation in an audit-ready state.
• Support the CCO in conducting internal audits, drafting policies, and creating training for staff.

Success Metrics (KPIs)

Regulatory Reviews & Filings

• Compliance reviews and CSA filings completed accurately and within required timelines.

Marketing & Advertising Compliance

• Marketing materials reviewed and turned around within agreed service timelines, with minimal post-publication corrections.

KYC & Suitability

• KYC/suitability audits completed on schedule, with documentation gaps identified and resolved promptly.

Regulatory Filings & Exam Support

• Compliance records maintained in an audit-ready state at all times.
• No material findings arising from regulatory exams or internal audits tied to areas of this role's responsibility.

Behaviours, Skills, and Competencies

• 2-4 years of experience in a compliance role within a portfolio management firm, investment dealer, or other CIRO-regulated environment.
• Post-secondary education in business, finance, law, or a related field.
• Canadian Securities Course (CSC) and Conduct and Practices Handbook (CPH), completed or in progress.
• Familiarity with CSA National Instrument 31-103, and Competition Bureau requirements as they apply to client-facing and marketing materials, and privacy legislation.
• Experience with KYC/suitability reviews and account documentation compliance.
• Strong analytical, written, and verbal communication skills, with the ability to work effectively with Wealth Counsellors, advisors, and senior leadership.
• Strong organizational skills and attention to detail, with the ability to manage multiple priorities and deadlines in a fast-paced environment.
• Proficiency with Microsoft Office (Word, Excel, PowerPoint, Outlook); experience with portfolio management systems (e.g., Dataphile, Harmony) is an asset.
• A recognized compliance certificate or designation is an asset.

To learn more about Kinsted, please visit Applications: To learn more or apply for this role, please send a resumé by email to Sarah Ince at ***email_hidden***. The posting will be open until a suitable candidate is found. Only successful candidates will be contacted.

Kinsted is committed to an inclusive, equitable workplace where diverse perspectives are valued. We offer competitive rewards designed to support professional growth and well-being. Accommodations are available throughout the recruitment process upon request. Applicant information will be handled in accordance with applicable privacy legislation. This posting does not constitute an offer of employment.