Senior Compliance Officer, Regulatory Complaints

3 weeks ago

Toronto ON, Canada Questrade Financial Group Full time

Compliance Officer, Business Integrity, QuestEnterprise
Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure.
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.
As a diverse and inclusive place to work, there are flexible working arrangements so you can unleash your creativity and curiosity with no limits. Hybrid and flexible work arrangements
Opportunities to contribute to community causes
We’re looking for our next Compliance Officer, Business Integrity, QuestEnterprise. 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.
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
Maintaining a compliance recordkeeping system
The Compliance Officer is expected to:
Become familiarized with CIRO, OSC and FCAC rules and all other related laws and regulations
Develop a clear understanding of compliance standards required by individuals
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 systems, including QOffice and BPS
So are YOU our next Compliance Officer, Business Integrity, QuestEnterprise ? Proficient in Microsoft Excel
Completion or enrolment in Canadian Securities Course (CSC) is an asset
Have knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements
Professional Development Recommendations (assets):
Derivatives Fundamentals & Options Licensing Course (DFOL)
Mortgage or lending related courses
At Questrade Financial Group of Companies, with multiple office locations around the world, we are committed to fostering a diverse, inclusive and accessible work environment. Our team reflects the diversity of the communities we serve and operate in. Having a collaborative and diverse team helps us push boundaries to bring the future of fintech into existence—not only for the benefit of our customers, but for those who build their career with us.

  • Complaints Specialist

    2 weeks ago

    Toronto, ON, Canada Retirement Homes Regulatory Authority Full time

    Position: Specialist, Complaints and Client Services Location: TorontoStatus: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints Specialist

    2 weeks ago

    Toronto, ON, Canada Retirement Homes Regulatory Authority Full time

    Position: Specialist, Complaints and Client Services Location: TorontoStatus: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints Specialist

    3 weeks ago

    Toronto, ON, Canada Retirement Homes Regulatory Authority Full time

    Position: Specialist, Complaints and Client Services Location: Toronto Status: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position: Specialist, Complaints and Client Services Location: Toronto Status: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position: Specialist, Complaints and Client Services Location: Toronto Status: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position: Specialist, Complaints and Client Services Location: Toronto Status: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position: Specialist, Complaints and Client Services Location: Toronto Status: Full-time, Permanent Salary: Base salary around $80,000 - commensurate with level of experienceThe Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints & Client Services Associate

    2 weeks ago

    Toronto, ON, Canada Retirement Homes Regulatory Authority Full time

    Position: Associate, Complaints and Client Services Location: Toronto, ONStatus: Full-time, Permanent Salary: Base salary around $65,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints & Client Services Associate

    2 weeks ago

    Toronto, ON, Canada Retirement Homes Regulatory Authority Full time

    Position: Associate, Complaints and Client Services Location: Toronto, ONStatus: Full-time, Permanent Salary: Base salary around $65,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780 retirement...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position:                        Specialist, Complaints and Client Services Location:                       TorontoStatus:                           Full-time, Permanent Salary:                           Base salary around $80,000 - commensurate with level of...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position:                        Specialist, Complaints and Client Services Location:                       TorontoStatus:                           Full-time, Permanent Salary:                           Base salary around $80,000 - commensurate with level of...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position:                        Specialist, Complaints and Client Services Location:                       TorontoStatus:                           Full-time, Permanent Salary:                           Base salary around $80,000 - commensurate with level of...

  • Complaints Specialist

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position:                        Specialist, Complaints and Client Services Location:                       Toronto Status:                           Full-time, Permanent Salary:                           Base salary around $80,000 - commensurate with level...

  • Manager, Compliance and Complaints

    4 weeks ago

    Toronto, Canada CMRAO Full time

    **Company Overview**: The Condominium Management Regulatory Authority of Ontario (CMRAO) began operations on November 1, 2017 to provide stronger consumer protection for Ontarians living and investing in condominiums. Through effective regulation, the CMRAO strengthens the condominium management profession and helps to protect consumers in Ontario’s...

  • Compliance Officer

    4 weeks ago

    Toronto, ON, Canada Canadian Investment Regulatory Organization Full time

    40 Temperance Street Suite 2600 Toronto, ON M5H0B4, CAN Description Position Title: Compliance Officer (MFD) Department: Business Conduct Compliance Region: Toronto Status: Permanent Full-time (Hybrid) CIRO is the national self-regulatory organization that oversees all investment dealers, mutual fund dealers and trading activity on Canada’s debt...

  • Complaints & Client Services Associate

    3 weeks ago

    Toronto, ON, Canada Retirement Homes Regulatory Authority Full time

    Position: Associate, Complaints and Client Services Location: Toronto, ON Status: Full-time, Permanent Salary: Base salary around $65,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780...

  • Complaints & Client Services Associate

    3 weeks ago

    Toronto, ON, Canada Retirement Homes Regulatory Authority Full time

    Position: Associate, Complaints and Client Services Location: Toronto, ON Status: Full-time, Permanent Salary: Base salary around $65,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780...

  • Chief Complaints and Regulatory Affairs Officer

    6 days ago

    Toronto, Canada Amex Full time

    You Lead the Way. We’ve Got Your Back. With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, communities and each other. Here, you’ll learn and grow as we help you create a...

  • Complaints & Client Services Associate

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position: Associate, Complaints and Client Services Location: Toronto, ON Status: Full-time, Permanent Salary: Base salary around $65,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780...

  • Complaints & Client Services Associate

    3 weeks ago

    Toronto, Canada Retirement Homes Regulatory Authority Full time

    Position: Associate, Complaints and Client Services Location: Toronto, ON Status: Full-time, Permanent Salary: Base salary around $65,000 - commensurate with level of experience The Retirement Homes Regulatory Authority (RHRA) is a self-financing authority independent of government, with the mandate to license and inspect Ontario’s more than 780...