Compliance Specialist- Monitoring

Found in: Jooble CA O C2 - 1 week ago

Toronto ON, Canada Questrade, Inc. Full time

Monday, April 8, 2024 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. The purpose of the Compliance Officer is to assist in the supervision of business and client account activity and provide support for compliance related requests and regulatory responsibilities.
What’s it like working as a Compliance Officer at Questrade?
The Compliance Officer shall be responsible for assisting in the administering of all aspects of Questrade’s compliance and supervision programs to ensure that the company’s business conduct and client trading activity is in compliance with Questrade’s policies and procedures, CIRO Rules and all other laws and regulations.The Compliance Officer will also engage in a periodic testing plan to provide reasonable assurance that Questrade is complying with its’ market data requirements. The Compliance Officer will test business unit operational functions and suggest improvements or remediation where necessary.
Proficient in all Questrade compliance policies and procedures
Provide support to the Manager for reports to Senior Leadership
Act as a source of knowledge of all the company and regulatory compliance requirements
Monitor and assess compliance by Questrade, its staff and clients
Assist in conducting daily and monthly monitoring and testing associated with Questrade’s Compliance program including:
Trade Surveillance on equities, fixed income and over-the-counter (OTC) derivative activity
Regulatory Reporting
Assist in monitoring personal trading of Questrade employees including registrants
Initiate communication that ensures a clear understanding of compliance standards required of individuals
Administer various compliance audits and prepare formal memorandums summarizing the results of such reviews
Identify and define requirements from NYSE, NASDAQ and other market data providers and define requirements for operational and technology teams
Provide support and guidance to Compliance Analyst staff, where needed
Assist other compliance teams with monitoring or testing functions as required
So are YOU our next Compliance Officer? Proficient knowledge in the use of Microsoft Excel/Word
Experience with G Suite (Google Docs, Google Sheets) is an asset
Post secondary degree/diploma in related field
Knowledge of OTC derivatives including Contracts for Difference
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.

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