Compliance Officer

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 Questrade in the supervision of client and account activity and provide support investigating escalated complaints and document requests from external regulators.

Need more details? Keep reading…

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

• Questrade is seeking a candidate who is interested in pursuing a career in compliance. We are seeking a motivated individual with proven analytical skills, a high degree of accountability and professionalism, strong organization skills, solid oral and written communication skills, attention to detail, exceptional follow-through and a strong sense of ethics.
• The Compliance Officer shall be responsible for assisting in the administering of all aspects of Questrade's Compliance and Supervision programs to ensure that the Dealer is in Compliance with policies and procedures, CIRO,CSA and MX Rules, and all other applicable securities regulations.

The responsibilities of the Compliance Officer are as follows:

• Investigate client complaints escalated to Compliance and draft written responses as delegated by the Manager, Business Integrity
• Gather documentation and responses to respond to requests for information from various regulators including formal Production Orders from securities authorities and law enforcement.
• Complete detailed reporting and analysis for subsidiaries to report to their Board of Directors on a quarterly basis.
• Monitor and assess compliance by Questrade, staff, and clients
• Review red flag escalations from client facing staff for seniors/vulnerable clients and account appropriateness
• Act as a source of regulatory knowledge to support business units and new initiatives within the organization
• Committee administration
• Conduct internal audits
• Maintaining a compliance recordkeeping system
• Other ad hoc duties as assigned

The Compliance Officer is expected to:

• Become familiarized with CIRO, OSC and MX rules and all other related laws and regulations
• Develop a clear understanding of compliance standards required by individuals
• Adhere to Questrade's compliance policies and procedures
• Learn to investigate cases and perform initial case analysis to support senior compliance staff
• Become proficient in Questrade's data management systems, including QOffice and BPS
• Work cooperatively with team members and other departments during investigations

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

• 4 year post-secondary degree and 1-2 years financial services experience
• Proficient in Microsoft Excel
• Exceptional verbal and written skills with the ability to communicate to all audiences in a clear and compelling manner
• Strong organization and time management skills essential
• Completion or enrolment in Canadian Securities Course (CSC) is an asset
• Have knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements
• Demonstrates analytical, problem-solving, and resourcefulness skills
• Collaborates and communicates effectively

Additional kudos if you have Professional Development Recommendations

• Canadian Securities Course (CSC)
• Conduct and Practices Handbook Course (CPH)
• Investment Dealer Supervisors Course (IDSC)
• Derivatives Fundamentals & Options Licensing Course (DFOL)
• Experience working in a CIRO Dealer

Compensation Information:

• Base salary range: $70,000 - $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.

Sounds like you? Click below to apply!

#LI-Hybrid