Current jobs related to Compliance Analyst, Complex Accounts Onboarding - Toronto, Ontario - Questrade Financial Group

  • Lead KYC Compliance Analyst

    1 month ago

    Toronto, Ontario, Canada Ebury Full time

    Ebury is a rapidly expanding FinTech organization recognized among the top 15 European FinTechs to work for by AltFi. We provide a diverse array of services, including foreign exchange risk management, trade financing, currency accounts, international transactions, and API integration. Senior KYC Analyst - Client Onboarding - Bilingual in English and...

  • Compliance Analyst

    1 month ago

    Toronto, Ontario, Canada IFG International Financial Group Ltd Full time

    IFG International Financial Group Ltd is looking for a Compliance Analyst to join our team on a contract basis. This position offers a hybrid work environment.Primary Duties:Ensure the integrity of data and gain invaluable experience within a prominent financial organization.Examine compliance and client due diligence documentation to verify that all client...

  • KYC Onboarding Manager

    1 month ago

    Toronto, Ontario, Canada Ebury Full time

    Ebury is a rapidly expanding FinTech organization, recognized as one of the leading European Fintechs to work for by AltFi. We provide a diverse array of services including foreign exchange risk management, trade finance, currency accounts, international payments, and API integration. Senior KYC Compliance Analyst - Onboarding - Bilingual in English and...

  • IT Onboarding Analyst

    6 days ago

    Toronto, Ontario, Canada VC3 Full time

    IT Onboarding Analyst We're seeking a detail-oriented IT professional to join our team as an IT Onboarding Analyst. This role is critical in developing our understanding of a new client's requirements and needs from their IT support provider. About the Role The IT Onboarding Analyst is responsible for investigating the state of a new client's IT...

  • Data Management and Compliance Analyst

    15 hours ago

    Toronto, Ontario, Canada Brookfield Asset Management Full time

    Job Title: Senior Analyst, Data Management & ComplianceJob Summary:We are seeking a highly skilled Senior Analyst to join our Middle-Office Investment Operations team. As a Senior Analyst, Data Management & Compliance, you will be responsible for leading our efforts to ensure data integrity across various systems, including IMA compliance monitoring &...

  • Data Management and Compliance Analyst

    12 hours ago

    Toronto, Ontario, Canada Brookfield Asset Management Full time

    Job Title: Senior Analyst, Data Management & ComplianceJob Summary:We are seeking a highly skilled Senior Analyst to join our Middle-Office Investment Operations team. As a Senior Analyst, Data Management & Compliance, you will be responsible for leading our efforts to ensure data integrity across various systems, including IMA compliance monitoring &...

  • IT Onboarding Specialist

    6 days ago

    Toronto, Ontario, Canada VC3 Full time

    About the RoleWe are seeking a highly skilled IT Onboarding Analyst to join our team at CompuVision. As an IT Onboarding Analyst, you will play a critical role in developing our understanding of new clients' IT environments and requirements.Key ResponsibilitiesProvide exceptional communication to internal stakeholders during Onboarding projects, escalating...

  • IT Onboarding Specialist

    6 days ago

    Toronto, Ontario, Canada VC3 Full time

    About the RoleWe are seeking a highly skilled IT Onboarding Analyst to join our team at CompuVision. As an IT Onboarding Analyst, you will play a critical role in developing our understanding of new clients' IT environments and requirements.Key ResponsibilitiesProvide exceptional communication to internal stakeholders during Onboarding projects, escalating...

  • IT Onboarding Specialist

    6 days ago

    Toronto, Ontario, Canada VC3 Full time

    About the RoleWe are seeking a highly skilled IT Onboarding Analyst to join our team at CompuVision. As an IT Onboarding Analyst, you will play a critical role in developing our understanding of new clients' IT environments and requirements.Key ResponsibilitiesProvide exceptional communication to internal stakeholders during Onboarding projects, escalating...

  • Regulatory Compliance Specialist

    2 days ago

    Toronto, Ontario, Canada TEKsystems Full time

    Job Title: Regulatory Client Outreach AnalystLocation: Toronto, ON (Hybrid work arrangement)Contract Length: 12 months with possibility of extensionAt TEKsystems, we're seeking a skilled Regulatory Client Outreach Analyst to join our team. As a key member of our compliance team, you'll play a crucial role in ensuring our clients' regulatory needs are met.Key...

  • Regulatory Compliance Specialist

    2 days ago

    Toronto, Ontario, Canada TEKsystems Full time

    Job Title: Regulatory Client Outreach AnalystLocation: Toronto, ON (Hybrid work arrangement)Contract Length: 12 months with possibility of extensionAt TEKsystems, we're seeking a skilled Regulatory Client Outreach Analyst to join our team. As a key member of our compliance team, you'll play a crucial role in ensuring our clients' regulatory needs are met.Key...

  • Regulatory Compliance Specialist

    12 hours ago

    Toronto, Ontario, Canada TEKsystems Full time

    Job Title: Regulatory Client Outreach AnalystLocation: Toronto, ON (Hybrid work arrangement)Contract Length: 12 months with possibility of extensionAt TEKsystems, we're seeking a skilled Regulatory Client Outreach Analyst to join our team. As a key member of our compliance team, you'll play a crucial role in ensuring our clients' regulatory frameworks are...

  • Regulatory Compliance Specialist

    9 hours ago

    Toronto, Ontario, Canada TEKsystems Full time

    Job Title: Regulatory Client Outreach AnalystLocation: Toronto, ON (Hybrid work arrangement)Contract Length: 12 months with possibility of extensionAt TEKsystems, we're seeking a skilled Regulatory Client Outreach Analyst to join our team. As a key member of our compliance team, you'll play a crucial role in ensuring our clients' regulatory frameworks are...

  • Senior Data Management

    4 weeks ago

    Toronto, Ontario, Canada Brookfield Asset Management Full time

    About the Role Brookfield Asset Management is seeking a highly motivated and detail-oriented Senior Data Management & Compliance Analyst to join our growing Middle Office Investment Operations team. In this role, you will play a crucial part in ensuring data integrity across various systems, including compliance monitoring and reporting requirements for...

  • Compliance Analyst

    2 weeks ago

    Toronto, Ontario, Canada MUFG Full time

    Unlock Your Potential in a Dynamic Financial EnvironmentMitsubishi UFJ Financial Group (MUFG), a leading global financial institution, is seeking a highly skilled Compliance Analyst to join our team. As a key member of our compliance department, you will play a critical role in ensuring the integrity of our financial operations and maintaining a strong...

  • Compliance Analyst

    3 weeks ago

    Toronto, Ontario, Canada MUFG Full time

    Unlock Your Potential in a Dynamic Financial EnvironmentMitsubishi UFJ Financial Group (MUFG), a leading global financial institution, is seeking a highly skilled Compliance Analyst to join our team. As a key member of our compliance department, you will play a critical role in ensuring the integrity of our financial operations and maintaining a strong...

  • Senior Business Analyst, Global Banking Onboarding

    2 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleWe are seeking a highly skilled Senior Business Analyst to join our Global Banking Onboarding team at Scotiabank. As a key member of our team, you will play a critical role in ensuring the bank's overall AML Compliance efforts are met.Key ResponsibilitiesSupport the Associate (Team Lead) and Associate Director to ensure that the Bank is...

  • Senior Business Analyst, Global Banking Onboarding

    2 weeks ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleWe are seeking a highly skilled Senior Business Analyst to join our Global Banking Onboarding team at Scotiabank. As a key member of our team, you will play a critical role in ensuring the bank's overall AML Compliance efforts are met.Key ResponsibilitiesSupport the Associate (Team Lead) and Associate Director to ensure that the Bank is...

  • Data Management and Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Brookfield Asset Management Full time

    Job Title: Senior Analyst, Data ManagementJob Summary:We are seeking a highly skilled Senior Analyst to join our Middle-Office Investment Operations team. As a Senior Analyst, Data Management, you will play a critical role in ensuring data integrity across various systems, including IMA compliance monitoring and reporting requirements.Key...

  • Data Management and Compliance Specialist

    2 weeks ago

    Toronto, Ontario, Canada Brookfield Asset Management Full time

    Job Title: Senior Analyst, Data ManagementJob Summary:We are seeking a highly skilled Senior Analyst to join our Middle-Office Investment Operations team. As a Senior Analyst, Data Management, you will play a critical role in ensuring data integrity across various systems, including IMA compliance monitoring and reporting requirements.Key...

Compliance Analyst, Complex Accounts Onboarding

3 months ago

Toronto, Ontario, Canada Questrade Financial Group Full time
Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure.

We are everything a traditional financial institution is not. 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.

This is a place where you can explore, discover and learn with continuous growth.

As a diverse and inclusive place to work, there are flexible working arrangements so you can unleash your creativity and curiosity with no limits.

If you share the same sense of infinite possibility, come shape your future at Questrade.

What's in it for you as an employee of QFG?

  • Health & wellbeing resources and programs
  • Paid vacation, personal, and sick days for worklife balance
  • Competitive compensation and benefits packages
  • Hybrid and flexible work arrangements
  • Career growth and development opportunities
  • Opportunities to contribute to community causes
  • Work with diverse team members in an inclusive and collaborative environment
We're looking for our next Compliance Analyst, Complex Accounts Onboarding. Could it Be You?

The purpose of the Compliance Analyst, Complex Accounts Onboarding is to support the Compliance team with account openings that are not eligible for the Automated Account approval system.

The individual will also be responsible for account approvals submitted by the CIFX team and via escalations.

What's it like working as a Compliance Analyst, Complex Accounts Onboarding at Questrade?

The Compliance Analyst will review and approve client accounts in accordance with IIROC/FINTRAC regulations and Questrade's internal operations procedures, while continually being vigilant of the customer experience.

Need more details? Keep reading...

In this role, responsibilities include but are not limited to:

  • Reviewing and approving/rejecting accounts as per our pre-established guidelines and regulations
  • Reviewing and approving/rejecting option trading for clients as per regulations
  • Conducting account opening suitability assessments for CFD accounts
  • Performing client due diligence on new and existing accounts
  • Supporting the "Gatekeeper" duty at the account opening stage
  • Supporting our AML policies at all levels of account administration
  • Being knowledgeable about recent regulatory updates and changes
  • Assisting our sales and customer service team in dealing with different account opening issues
  • Reviewing client cases, onhold accounts and resolving them or reassigning them properly
  • Escalating accounts to Enhanced Due Diligence for review, where necessary.
  • Liaising with other business units including CSS, Sales and Operations with respect to account opening issues.
  • Performing other duties as assigned
So are YOU our next Compliance Analyst, Complex Accounts Onboarding? You are if you have

  • Postsecondary education in Finance or Economics
  • Successfully completed: CSC, CPH, DFOL, OPSC. FLC, CCSE
  • 2+ years of brokerage experience, preferably in Customer Service, Trading, Operations or Compliance
  • Working knowledge of registered accounts such as RRSP, RESP, LIRA, and RIF
  • Proven knowledge of the securities industry
  • Excellent written and verbal communication skills
  • Excellent computer skills, especially MS Excel
  • Excellent organizational skills
  • Problemsolving and analytical skills
Additional kudos if you have

  • Customer service experience
  • New accounts opening experience
Sounds like you? Click below to apply
LI-NP1
LI-Hybrid


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.

This is an environment where individuals are treated with dignity and respect. Here, the unique skills and experience you bring will be valued. You will be supported and motivated, so that you can harness your unlimited potential. 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.