Compliance Analyst

at  Questrade Financial Group

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’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
• 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’re looking for our next Compliance Analyst. Could It Be You?
The purpose of the Analyst, Compliance (QWM) is to conduct surveillance on portfolio management and trading,suitability,and client related account activity.
The Analyst also supports various regulatory reporting processes and provides support handling compliance related requests as needed by the QWM compliance team.
What’s it like working as a Compliance Analyst at Questrade?
The Compliance Analyst will work closely with the Supervisor, Questrade Wealth Management, other compliance teams and business units to support the Questrade Wealth Management compliance program, which includes, reviews, monitoring, escalation and reporting in accordance with our documented policies and procedures.
Need more details? Keep reading…

Requirements and qualification of the Analyst, Compliance includes:

• Post-secondary degree in a related field
• High ethical standards and integrity
• Natural curiosity and drive to learn
• Analytical and problem solving skills
• Organized and has great time management
• Strong verbal and written communication skill

• Perform day-to-day compliance monitoring and testing associated with Questrade Wealth Management including: Suitability, Regulatory Reporting, Portfolio Management and Trading.
• Become proficient in all Questrade Wealth Management Compliance policies and procedures.
• Recommend improvements to internal controls and business processes.
• Coordinate with all departments in identifying, developing and implementing quality improvements in response to business requirements and regulatory changes.
• Monitor and assess compliance by Questrade Wealth Management, staff, and clients.
• Perform other duties, as assigned, to assist in all areas of compliance at Questrade Wealth Management.
• Expected to become familiar with OSC rules and all other related laws and regulations.
• Adhere to Questrade Wealth Management’s compliance policies and procedures.
• Learn to investigate cases and perform initial case analysis to support senior compliance staff.
• Monitor and deploy employee training to capture all necessary requirements
• Participation in special projects as needed.
• Fulfill reporting obligations to various regulators.
• Provide preliminary support and guidance to other departments on compliance matters, when needed.
  So are YOU our next Compliance Analyst? You are if you…

Requirements and qualification of the Analyst, Compliance includes:

• Post-secondary degree in a related field
• High ethical standards and integrity
• Natural curiosity and drive to learn
• Analytical and problem solving skills
• Organized and has great time management
• Strong verbal and written communication skills