Compliance Officer

Questrade Financial Group; Toronto; Hybrid; CAD 75,000 - 85,000; Full time

Benefits offered by this job

Health & wellbeing resources

Paid vacation and sick days

Competitive compensation and benefits

Hybrid work in-office presence 3 days

Job summary

Questrade Financial Group is seeking a Compliance Officer to assist in supervising business and client activity and to support regulatory responsibilities. The role involves testing, monitoring, and improving the compliance program across departments, with a focus on CIRO rules and market data requirements.

Ideal candidates hold a related degree and have 2+ years of experience with a CIRO member firm or equivalent, plus knowledge of retail securities trading and capital markets.

Qualifications

• Post-secondary degree or diploma in a related field.
• 2+ years of CIRO member firm or equivalent experience in financial services.

Responsibilities

• Assist in supervision of business and client account activity.
• Provide support for compliance-related requests and regulatory responsibilities.
• Conduct daily and monthly monitoring and testing of the Compliance program.
• Assist in regulatory reporting and trade surveillance.
• Gather information for regulators and prepare responses.

Skills

Policy knowledge

Reporting support

Securities knowledge

CSC/CPH certificates

MS Office proficiency

Communication skills

Education

Post-secondary degree/diploma

Tools

Microsoft Excel

Microsoft Word

Job description

Questrade Financial Group (QFG), through its companies - Questrade, Questbank, Questrade Wealth Management, Community Trust Company, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. We use cutting-edge technology to help Canadians become much more financially successful and secure.

At QFG, we combine human-centric collaboration with AI-driven innovation to redefine financial services. The ideal candidate will be a catalyst for change, using AI to transform and deliver unparalleled customer experiences and shaping a future where AI empowers our teams to do their best work.

Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits. If you share this sense of infinite possibility, come shape your future at QFG.

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

This job posting is for an existing vacancy.

We're looking for our next Compliance Officer. Could It Be You?

The purpose of the Compliance Officer is to assist in the supervision of business and client account activity and provide support for compliance-related requests and regulatory responsibilities.

The Compliance Officer shall be responsible for assisting in the administration of all aspects of Questrade's compliance and supervision programs to ensure that the company's business conduct and client trading activity comply with Questrade's policies and procedures, CIRO Rules, and all other laws and regulations. The Compliance Officer will also engage in a periodic testing plan to provide reasonable assurance that Questrade is complying with its market data requirements. The Compliance Officer will test business unit operational functions and suggest improvements or remediation where necessary.

Need more details? Keep reading…

• Proficient in all Questrade compliance policies and procedures.
• Provide support to the Manager for reports to Senior Leadership.
• Act as a source of knowledge for all company and regulatory compliance requirements.
• Monitor and assess compliance by Questrade, its staff, and clients.
• Assist in conducting daily and monthly monitoring and testing associated with Questrade's Compliance program, including:
  • Trade Surveillance on equities, fixed income, and over-the-counter (OTC) derivative activity.
  • Trade Desk Audits.
  • Regulatory Reporting.
• Assist in monitoring personal trading of Questrade employees, including registrants.
• Gather information requested by various regulators and prepare responses for review.
• Initiate communication that ensures a clear understanding of compliance standards required of individuals.
• Administer various compliance audits and prepare formal memorandums summarizing the results of such reviews.
• Identify and define requirements from NYSE, NASDAQ, and other market data providers, and define requirements for operational and technology teams.
• Take ownership of processing and completing all tasks as assigned.
• Provide support and guidance to Compliance Analyst staff, where needed.
• Assist other compliance teams with monitoring or testing functions as required.
• Other duties as assigned

So are YOU our next Compliance Officer? You are if you…

• Post-secondary degree/diploma in a related field.
• 2 years or more of experience with a CIRO member firm or equivalent Financial Institution.
• Knowledge of retail securities trading and capital markets.
• Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH).
• Proficient knowledge in the use of Microsoft Excel/Word.
• Excellent written and verbal communication skills.

Assets:

• Experience with G Suite (Google Docs, Google Sheets).
• Completion of IDSC, FLC, DFOL, or OPSC.
• Knowledge of OTC derivatives, including Contracts for Difference.

Compensation Information:

• Base salary range: $75,000- $85,000

The final compensation package will be commensurate with the successful candidate's experience, skills, and geographic location (Canada). It includes a comprehensive benefits plan and a competitive incentive (bonus) program for Full-Time Permanent roles.

At Questrade Financial Group of Companies, with multiple office locations around the world, we are committed to fostering a diverse, inclusive and accessible work environment. This is an environment where individuals are treated with dignity and respect. Here, the unique skills and experience you bring will be valued. You will be supported and motivated, so that you can harness your unlimited potential. Our team reflects the diversity of the communities we serve and operate in. Having a collaborative and diverse team helps us push boundaries to bring the future of fintech into existence—not only for the benefit of our customers, but for those who build their career with us.

Questrade Financial Group of companies Applicant Tracking System utilizes artificial intelligence (AI) for application screening. The AI system operates on predetermined criteria, with final decisions subject to human review.

Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment/selection process, please let us know and we will work with you to meet your needs.