Compliance Officer, Business Integrity

Questrade Financial Group (QFG), through its companies – Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, Zolo, and Flexiti Financial Inc., provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. Questrade uses cutting‑edge technologies to develop innovative products that give customers better, more affordable ways to take control of their money.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 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.At QFG, we have a culture of innovation where technology serves people—both our team and our customers. We see AI as a collaborative and transformative enabler, and we are seeking forward‑thinking individuals who can effectively integrate it into their daily work. The ideal candidate will be a catalyst for change, helping us use AI to create a more efficient and rewarding employee experience while also developing cutting‑edge solutions that delight and serve our customers.What’s in it for you as an employee of QFG?Health & wellbeing resources and programsPaid vacation, personal, and sick days for work‑life balanceCompetitive compensation and benefits packagesWork‑life balance in a hybrid environment with at least 3 days in officeCareer growth and development opportunitiesOpportunities to contribute to community causesWork with diverse team members in an inclusive and collaborative environmentCompliance Officer, Business Integrity – Job SummaryThe Compliance Officer, Business Integrity is primarily responsible for investigating escalated client complaints received by the Enterprise Business Integrity team, liaising with regulators and external reviewing bodies, and monitoring the resolution of any issues found during the complaint's investigations. The role also leverages new technologies, including AI tools, to increase the efficiency of assigned tasks.ResponsibilitiesReview escalated client complaints in a fair, transparent, objective, and factual manner and issue detailed written responses to clients.Ensure that regulatory timelines for complaints handling are consistently maintained.Maintain knowledge of internal policies & procedures, and external regulatory requirements of QFG’s entities (including Questrade Inc., QWM, CTC, Questbank, Flexiti and Zolo).Identify, report, and monitor the resolution of any issue identified during complaint investigations (such as process gaps, system limitations, coaching needs, etc.).Identify and escalate any issue or trends to relevant parties.Ensure maintenance of complete records, providing a clear audit trail for complaints.Gather information requested by regulators and prepare responses for review.Administer various compliance audits & testing, and prepare formal memorandums summarizing the results of such reviews.Provide support to the Manager & Director, Business Integrity for reports to Senior Management and Compliance Committees.Provide guidance & support to various business units with potential/confirmed complaints and other issues.Take ownership of processing and completing all tasks as assigned.Adapt to new technologies, including leveraging AI to streamline investigations.Provide support and guidance to Compliance Analyst staff, where needed.Assist with the creation and deployment of training materials to other employees to foster a culture of compliance with consumer protection requirements.QualificationsPrevious experience in a compliance, risk management or audit role.Post‑secondary degree/diploma in Business Administration/Commerce, Finance, Economics, Law or related field.Strong knowledge of banking & investment products.Knowledge of retail securities trading and capital markets.Ability to make decisions independently based on available information.Ability to break down complex or multi‑dimensional problems, interpret and determine relevance of information, and use reasoning to identify options and solutions.Strong planning, organizational and time‑management skills—including the ability to identify tasks and resources required to complete investigations within pre‑determined timelines.Strong written and oral communication skills, including the ability to communicate effectively and professionally with clients, internal and external stakeholders in a clear and concise manner.Ability to understand and adapt to new technologies, including leveraging AI to streamline investigations and other tasks.Additional Kudos If You…Have complete course/certifications such as Canadian Securities Course (CSC), Conduct and Practice Handbook Course (CPH), Derivatives Fundamental Course (DFC), Options License Course (OLC), Options Supervisor Course (OPSC), Branch Managers Course (BMC)Bilingual – written and verbal fluency in English and FrenchAdditional InformationRole will be required to be in office 3 days a weekJob DetailsSeniority level: Mid‑Senior levelEmployment type: Full‑timeJob function: LegalLocation: North York, Ontario, CanadaFor application questions or accommodation during the recruitment/selection process, please let us know and we will work with you to meet your needs. #J-18808-Ljbffr