Compliance Officer, Business Integrity, QuestEnterprise

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 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’s 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’s Compliance and Supervision programs to ensure that the company is in Compliance with QFG’s policies and procedures, CIRO Rules, FCAC regulation and all other applicable securities regulations.
Need more details? Keep reading…

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