Compliance Analyst, Client Onboarding

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 Analyst, Client Onboarding. Could It Be You?

The purpose of the Compliance Analyst, Client Onboarding is to support the Compliance Client Onboarding team with account opening. The individual will be responsible to ensure efficient processing of client requests, updates and account approvals.

The Compliance Analyst will review and approve client accounts in accordance with IIROC/FINTRAC regulations and Questrade's internal operations procedures, while continually being vigilant of the customer experience.

Need more details? Keep reading…

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

• Review and approve/reject accounts as per our pre-established guidelines and regulations

• Review and approve/reject option trading for clients as per regulations

• Review and approve/reject AT participants on the accounts

• Perform client due diligence on new and existing accounts

• Support the "Gatekeeper" duty at the account opening stage

• Support our AML policies at all level of account administration

• Be knowledgeable about recent regulatory updates and changes

• Assist our sales and customer service team in dealing with different account opening issues

• Review client cases, on hold accounts and resolve them or re-assign them properly

• Escalate accounts to Enhanced Due Diligence for review, where necessary.

• Liaise with other business units including CSS, Sales and Operations with respect to account opening issues.

• Other duties as assigned

So are YOU our next Compliance Analyst, Client Onboarding? You are if you…

• Have proven knowledge of securities industry

• Possess excellent written and verbal communication skills

• Demonstrate excellent computer skills, especially MS Excel

• Maintain excellent organizational skills

• Utilize problem solving and analytical skills

• Bring customer service experience is an asset

Additional kudos if you…

• Are eligible for registration with CIRO as a Supervisor, Non-Trading, or have successfully completed, or be able to successfully complete, the following CIRO exams:

  • Supervisor Exam

  • Derivatives Exam

• Have a minimum of 2 years of relevant work experience at a CIRO-regulated dealer.

• Bring hands-on experience in account onboarding and KYC Due Diligence.

Compensation Information:

• Base salary range: $65,000 - $75,000

• 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!

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