Compliance Analyst, Business Integrity

Questrade Financial Group•Toronto, ON

4d•CA$65,000 - CA$75,000•Hybrid

About The Position

Questrade Financial Group (QFG) is a diverse financial services organization that leverages cutting-edge technology and AI-driven innovation to enhance customer experiences and empower its teams. The company is seeking a Compliance Analyst, Business Integrity to join its hybrid workplace. This role is crucial for investigating escalated client complaints, providing detailed written responses, and supporting the broader compliance and regulatory functions of QFG's various entities. The ideal candidate will be a proactive individual who embraces new technologies, including AI, to improve efficiency and contribute to a culture of consumer protection.

Requirements

Knowledge of banking and investment products.
Post-secondary degree or diploma in Business Administration, Commerce, Finance, Economics, Law, or a related field.
Strong ability to make decisions independently based on the information available.
Strong ability to break down complex or multi-dimensional problems, determine what information is relevant, and reason through to a defensible conclusion.
Strong planning, organizational, and time-management skills, including the ability to identify the tasks and resources required to complete an investigation within its regulatory timeline.
Strong written and oral communication skills, including the ability to communicate with clients and with internal and external stakeholders clearly, concisely, and professionally.
Willingness and ability to adopt new technologies, including AI tools, in day-to-day work.
Receptiveness to coaching and feedback, with consistent follow-through on what is discussed.

Nice To Haves

Previous experience in a compliance, risk management or audit role.
Knowledge of retail securities trading and capital markets
Strong computer skills, particularly with database applications, complex formulas in spreadsheets (Excel or Google Sheets), and use of AI tools.
Bilingual in French and English.
Completing the Canadian Securities Course (CSC)
Completing the Conduct and Practices Handbook Course (CPH)
Completing the Derivatives Fundamentals Course (DFC)
Completing the Options Licensing Course (OLC)
Completing the Options Supervisors Course (OPSC)

Responsibilities

Investigating escalated client complaints in a fair, transparent, objective, and factual manner.
Drafting detailed written responses that are sent directly to clients, to the quality and formatting standards required for client-facing correspondence.
Ensuring that regulatory timelines for complaints handling are consistently met.
Identifying and escalating emerging issues, patterns, or trends to the appropriate parties.
Gathering information requested by regulators and prepare draft responses for review.
Maintaining working knowledge of internal policies and procedures, and of the external regulatory requirements applicable to QFG's various entities (Questrade Inc, QWM, Questbank, Flexiti, and Zolo).
Maintaining complete records that provide a clear audit trail for every complaint handled.
Contributing to the development and deployment of training materials that foster a culture of consumer protection across the organization.
Supporting compliance audits and testing, including preparing memorandums that summarize the results of such reviews.
Supporting the Manager and Director, Business Integrity, with materials prepared for Senior Management and Compliance Committees.
Taking ownership of assigned tasks from intake through closure, and raising blockers or questions promptly when they arise.
Adopting and applying new technologies, including AI tools, to make investigations and other tasks more efficient.
Engaging openly with coaching and feedback, and applying it consistently in subsequent work. Receptiveness to feedback and reliable follow-through are core expectations of the role.