Compliance Analyst, Client Onboarding
About The Position
Questrade Financial Group (QFG) is seeking a Compliance Analyst, Client Onboarding to support the Compliance Client Onboarding team with account opening. The role ensures 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 maintaining a focus on customer experience. QFG combines human-centric collaboration with AI-driven innovation to redefine financial services and is looking for a candidate who can be a catalyst for change using AI to transform and deliver unparalleled customer experiences.
Requirements
- Proven knowledge of securities industry
- Excellent written and verbal communication skills
- Excellent computer skills, especially MS Excel
- Excellent organizational skills
- Problem solving and analytical skills
Nice To Haves
- Customer service experience is an asset
- 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
- A minimum of 2 years of relevant work experience at a CIRO-regulated dealer.
- Hands-on experience in account onboarding and KYC Due Diligence.
Responsibilities
- 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
Benefits
- Health & wellbeing resources and programs
- Paid vacation, personal, and sick days for work-life balance
- Competitive compensation and benefits packages
- Competitive incentive (bonus) program for Full-Time Permanent roles
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
