Regulatory Affairs Manager

1 week ago

Toronto, Ontario, Canada Questrade Financial Group Full time
Compliance Manager, Business Integrity (12 month contract)

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 Manager, Business Integrity (12 month contract).

The purpose of the Manager, Business Integrity is to assist the Director, Business Integrity in ensuring Questrade and its affiliates operate within the rules and regulations prescribed by the Canadian Investment Regulatory Organization (CIRO), the Ontario Securities Commission (OSC), Financial Consumer Agency of Canada (FCAC) and other provincial and territorial securities commissions, regulators and legislators.

What's it like working as a Compliance Manager, Business Integrity (12 month contract) at Questrade?

The Manager, Business Integrity will lead a team of Compliance Professionals to execute and refine Compliance programs related to Business Integrity at Questrade Financial Group.

In particular, the Manager will lead the investigation of escalated client complaints and reporting to regulators.

The Manager will also work closely with other compliance teams and business units in ensuring reviews, monitoring, escalation and reporting is undertaken in accordance with documented policies and procedures and that there is a consistent approach to dealing with compliance projects across all business units.

Work with stakeholders in the development and enhancement of products to ensure compliance with applicable laws and regulations; coordinate development and maintenance of supporting policies and procedures
Oversee the complaint handling team including associated filings with regulators and responding to requests for information (OBSI, CIRO etc)
Ensure timely resolution and remediation of any gaps identified as a result of client complaints
Manage compliance programs enterprise-wide including monitoring and testing
Assist and coordinate all regulatory reporting in a timely manner.
Supervise and manage a team of compliance officers and/or analysts
Act as a key resource for business units of company and regulatory business conduct compliance requirements
Initiate communication that ensures a clear understanding of compliance standards required of employees and business units
Recommend improvements to internal controls and business processes
Represent Compliance in internal/external committees and working groups
Maintain internal policies and procedures and recommend changes to existing controls, as necessary.
Improves team performance, recognizes and rewards performance, coaches employees, supports their development, and manages poor performance.
So are YOU ou r next Compliance Manager, Business Integrity (12 month contract) ? 3+ years related experience required preferably in a compliance or audit role
Experience in Compliance Programs including administering formal audits
Courses or experience related to Mortgages or Banking Products

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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