Job Description

Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure.We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team members will help you conquer challenges, push boundaries and discover what you are truly capable of.This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, there are flexible working arrangements so you can unleash your creativity and curiosity with no limits. If you share the same sense of infinite possibility, come shape your future at Questrade.What\xe2\x80\x99s 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
• Hybrid and flexible work arrangements
• Career growth and development opportunities
• Opportunities to contribute to community causes
• Work with diverse team members in an inclusive and collaborative environment

We\xe2\x80\x99re looking for our next Compliance Officer, Business Integrity, QuestEnterprise. 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.What\xe2\x80\x99s it like working as a Compliance Officer, Business Integrity, QuestEnterprise at Questrade?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 QFG\xe2\x80\x99s Compliance and Supervision programs to ensure that the company is in Compliance with QFG\xe2\x80\x99s policies and procedures, CIRO Rules, FCAC regulation and all other applicable securities regulations.Need more details? Keep reading\xe2\x80\xa6In this role, responsibilities include but are not limited to: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 FCAC rules and all other related laws and regulations
• Develop a clear understanding of compliance standards required by individuals
• Adhere to Questrade\xe2\x80\x99s compliance policies and procedures
• Learn to investigate cases and perform initial case analysis to support senior compliance staff
• Become proficient in Questrade\xe2\x80\x99s data management systems, including QOffice and BPS
• Work cooperatively with team members and other departments during investigations

So are YOU our next Compliance Officer, Business Integrity, QuestEnterprise? You are if you\xe2\x80\xa6

• 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\xe2\x80\xa6Professional Development Recommendations (assets):

• 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 (IIROC or MFDA) dealer
• Knowledge of FCAC regulations and codes of conduct
• Mortgage or lending related courses

Sounds like you? Click below to apply!#L1-EP1At 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\xe2\x80\x94not only for the benefit of our customers, but for those who build their career with us.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.

Questrade