Compliance Officer

Questrade Financial Group•Toronto, ON

13d•$75,000 - $85,000•Hybrid

About The Position

Questrade Financial Group (QFG), through its companies - Questrade, Questbank, Questrade Wealth Management, Community Trust Company, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. We use cutting-edge technology to help Canadians become much more financially successful and secure. At QFG, we combine human-centric collaboration with AI-driven innovation to redefine financial services. The ideal candidate will be a catalyst for change, using AI to transform and deliver unparalleled customer experiences and shaping a future where AI empowers our teams to do their best work. Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits. If you share this sense of infinite possibility, come shape your future at QFG. This job posting is for an existing vacancy. We’re looking for our next Compliance Officer. Could It Be You? Questrade is seeking a candidate who is interested in furthering a career in compliance, trade surveillance or audit. 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 must adhere to applicable regulation as well as all aspects of Questrade’s policies and procedures. The Compliance Officer is responsible for: Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including: Trade Surveillance Trade Desk Audits Regulatory Reporting Monitor and assess compliance by Questrade staff, and clients Performing other duties, as assigned, to assist in all areas of compliance at Questrade The Compliance Officer is expected to: Become familiarized with CIRO rules and all other related laws and regulations Develop a clear understanding of compliance standards required Adhere to Questrade’s compliance policies and procedures Learn to investigate cases and perform initial case analysis to support senior compliance staff Become proficient in Questrade’s data management and trading systems Provide support and guidance to other departments on compliance matters Fulfill reporting obligations to various regulators Support other compliance programs at Questrade as required

Requirements

Have a completed a 4 year post-secondary degree
Proficient in Microsoft Office (Word, Excel, Access), Standard Query Language (SQL), and G Suite
Have 1-2 years previous compliance experience at an CIRO member firm or registered Portfolio Management firm
Have a exceptional verbal and communication skills with the ability to communicate to all audiences in a clear and compelling manner
Have strong organization and time management skills
Have high ethical standards and integrity
Have a natural curiosity and drive to learn

Nice To Haves

Knowledge of various financial products including equities, options & other derivatives is an asset
Canadian Securities Course (CSC)
Conduct and Practice Handbook Course (CPH)
Derivatives Fundamentals and Options Licensing (DFOL)
Futures Licensing Course (FLC)

Responsibilities

Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including: Trade Surveillance, Trade Desk Audits, Regulatory Reporting
Monitor and assess compliance by Questrade staff, and clients
Performing other duties, as assigned, to assist in all areas of compliance at Questrade
Become familiarized with CIRO rules and all other related laws and regulations
Develop a clear understanding of compliance standards required
Adhere to Questrade’s compliance policies and procedures
Learn to investigate cases and perform initial case analysis to support senior compliance staff
Become proficient in Questrade’s data management and trading systems
Provide support and guidance to other departments on compliance matters
Fulfill reporting obligations to various regulators
Support other compliance programs at Questrade as required