Support Q Wealth as a full-time Regulatory Operations Associate in Toronto, enhancing compliance operations and ensuring accuracy within financial services. Your role is critical in managing regulatory controls.
In this Regulatory Operations Associate position, you'll support Q Wealth Partners' compliance infrastructure while collaborating with various teams. You will execute essential tasks like New Client Account Reviews and KYP assessments, while also following up with Portfolio Managers for any outstanding items. This is a fantastic opportunity to grow your career in a dynamic environment.
Key Responsibilities:
• Execute New Client Account Reviews to meet compliance standards
• Verify completeness of KYP assessments
• Monitor and follow up on KYCs nearing expiry
• Assist with training documentation for regulatory processes
• Engage in operational compliance projects as needed
Requirements:
• Bachelor’s degree in Business, Economics, or related field
• ...