Supervisor, Business Integrity

Questrade Financial Group•Toronto, ON

7d•CA$95,000 - CA$105,000•Hybrid

About The Position

Questrade Financial Group (QFG) is a diverse financial services organization that utilizes cutting-edge technology to help Canadians achieve financial success. The company is seeking a Supervisor, Business Integrity to act as a central point of contact for the compliance review and approval of marketing materials across all QFG entities. This role will initially focus on marketing review and consumer protection support, with a future shift towards supervising Compliance Officers and Analysts. The ideal candidate will be a catalyst for change, using AI to transform customer experiences and empower teams. QFG offers a diverse, inclusive, and hybrid workplace with opportunities for creativity and curiosity.

Requirements

Several years of compliance experience at a CIRO-regulated dealer or comparable regulated financial institution, including hands-on review and approval of marketing materials.
A minimum of two years of relevant experience consistent with CIRO's requirements for Supervisor approval.
Knowledge of the CIRO IDPC Rules (3600 and 3900 series), OEO guidance, NI 81-102 Part 15, and CSA Staff Notice 31-325, with working knowledge of FCAC requirements, CASL, the Competition Act, Ad Standards, and Quebec marketing requirements.
An ability to take complete ownership of a regulatory approval process and operate independently with minimal supervision, with sound judgment on when to engage specialists.
Strong written and oral communication skills, including precise, constructive feedback to Marketing.
Strong organization and recordkeeping across a high volume of concurrent reviews with fixed deadlines.
An ability to supervise, coach, and develop Compliance Officers and Compliance Analysts.
A willingness to adopt new technologies, including AI tools, and receptiveness to coaching and feedback.

Nice To Haves

Experience at an order execution only (OEO) or online brokerage, or with FCAC-regulated credit or deposit product advertising.
Bilingualism in French and English.

Responsibilities

Acting as the single point of contact for the compliance review and approval of marketing materials across all QFG entities, channels, and media prior to publication.
Reviewing materials against all applicable requirements, including the CIRO IDPC Rule 3600 series and OEO guidance, NI 81-102 Part 15 and CSA Staff Notice 31-325 for QWM, FCAC Cost of Borrowing and Deposit Type Instruments Regulations for Questbank, Flexiti, and CTC products, CASL, the Competition Act, Ad Standards, and Quebec requirements (Consumer Protection Act, Charter of the French Language).
Verifying claims substantiation, fair fee comparisons, performance data presentation, balanced disclosure of benefits and risks, and required disclaimers and membership disclosures.
Owning and continuously improving the intake and approval workflow, and keeping marketing review policies, procedures, and checklists current.
Performing regular sampling of live marketing against approvals and other audits.
Delivering training and guidance to business units on marketing compliance requirements.
Assisting the EBI team with escalated client complaints and regulatory complaint files, including investigations and draft responses to clients, regulators, and external reviewing bodies (CIRO, OSC, FCAC, OBSI), within regulatory timelines.
Providing guidance, file review, and quality oversight to Compliance Officers and Compliance Analysts.
Taking full ownership of files from intake through closure, and flag any risk to launch dates or regulatory timelines early.
Adopting new technologies, including AI tools, and engaging openly with coaching and feedback.