What’s in it for you as an employee of QFG?

• Health & wellbeing resources and programs

• Paid vacation, personal, and sick days for work-life balance

• Competitive compensation and benefits packages

• Work-life balance in a hybrid environment with at least 3 days in office

• Career growth and development opportunities

• Opportunities to contribute to community causes

• Work with diverse team members in an inclusive and collaborative environment

We’re looking for our next Corporate Compliance Administrator and Executive Assistant. Could It Be You?

The purpose of the Corporate Compliance Administrator and Executive Assistant is to provide high-level administrative and organizational support to the Compliance department and the Chief Compliance Officer. This position is vital to ensuring the smooth and efficient operation of the department by managing executive schedules, coordinating key compliance activities, and handling a wide array of administrative tasks.

The role serves as a key liaison between the Compliance department and other business units, actively contributing directly to the company's ability to meet its regulatory obligations and maintain a strong culture of compliance.

Need more details? Keep reading…

In this role, responsibilities include but are not limited to:

• Provide comprehensive administrative support to the Chief Compliance Officer and their leadership team, including managing complex calendars, coordinating travel, and processing expense reports, and assisting with departmental budget tracking and memberships.

• Ensure proactive communication and task completion by conducting a weekly review meeting with the CCO and diligently tracking and following up on pending action items from all meetings.

• Collaborate closely with Executive Assistants across the organization to align on priorities and facilitate the effective execution of firm-wide projects and initiatives.

• Oversee the end-to-end process for Executives’ Annual Attestations, ensuring timely completion, follow-up, and accurate record-keeping.

• Back up the Onboarding Team for account approval, requiring the candidate to be registered in order to approve new accounts.

• Provide essential backup support for NRD Filings, particularly for registered Executives.

• Coordinate with the Legal team monthly regarding new entities and potential executive reportable outside activities. Update OA trackers and documentation, then coordinate with the registration team for accurate and timely regulatory filings.

• Prepare and assemble materials for key regulatory and internal reports, including weekly statistics, quarterly committee packages, and quarterly board reports.

• Manage the Continuing Education (CE) Program by maintaining the CE Tracker, distributing memos and reminders, and updating portals to ensure all registrants meet their requirements.

• Manage the CTC/Bank Board Learning Tracker and send reminders quarterly.

• Plan, coordinate, and execute departmental meetings and events, including the annual Compliance Town Hall and leadership offsites.

• Develop and prepare high-quality presentation materials for various needs, including internal training, new employee orientation, external engagements, and general meetings.

• Oversee the complete lifecycle of the department's internal documentation by organizing annual compliance plans, uploading all updates to Policies & Procedures (P&Ps), and maintaining the Compliance intranet pages and organizational charts.

• Coordinate with the RegTech Management team to upload plans to Resolver for monitoring and ensure the P&P NotebookLM is current.

• Implement and maintain a systematic and confidential filing system for both physical and electronic documents, ensuring that records are well-organized and easily accessible for audits or internal review.

• Handle necessary departmental logistics, such as registering staff for regulatory conferences & training, managing the Compliance distribution list, and coordinating IT support for leadership onboarding/exit and general issues (e.g., addressing IT tickets)

• Other ad hoc duties as required

So are YOU our next Corporate Compliance Administrator and Executive Assistant? You are if you…

• Have a post-secondary degree or diploma in business administration, legal studies, or a related field

• Have a minimum of 2 years of relevant experience with an investment dealer, a Mutual Fund Dealer Member, portfolio manager, or an entity governed by a recognized foreign regulatory organization

• Have 3-5 years of experience as a senior administrative or executive assistant supporting senior leadership in a regulated environment like financial services or legal.

• Have direct experience in a compliance department

• Have advanced skills in G Suite and Microsoft Office, especially with advanced skills in calendar management, PowerPoint, Excel, and Visio.

• Have superior organizational and time-management skills, with a proven ability to prioritize tasks, manage multiple deadlines, and operate effectively in a fast-paced environment.

• Have meticulous attention to detail for preparing accurate reports, managing compliance documentation, and coordinating events flawlessly.

• Have excellent written and verbal communication skills, with the ability to correspond professionally and effectively with internal and external stakeholders at all levels.

• Have demonstrated the ability to handle sensitive and confidential information with the utmost discretion and maintain a high degree of professionalism.

Additional kudos if you…

• Have completed the Investment Dealer Supervisor Course or are willing to complete

Sounds like you? Click below to apply!

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