Compliance Analyst, Aml
5 days ago
Questrade Financial Group (QFG) of Companies is committed to helping Canadians become much more financially successful and secure. We are everything a traditional financial institution is not. Our vision is to revolutionize financial services for the benefit of Canadians by providing the most innovative and cost efficient financial services online.
That’s why we empower our employees to continuously grow their professional careers with QFG. We believe in having a diverse, inclusive place to work and our flexible working arrangements brings that to life so you can unleash your creativity. Our values are a part of our DNA, and we care deeply about our people helping us fulfill our mission and become an important part of our community. We are always looking for like-minded professionals to join our team. Come grow with us.
**Our goal is simple**: do the right thing.
Our Compliance department implements a compliance regime and supervisor systems to ensure compliance with all the rules, regulations, policies and legislation applicable to Questrade’s business. This department is responsible for reporting to management and the board of directors on Questrade’s level of compliance and for overall oversight of supervision functions to make sure we are always doing the right things. They’re passionate and committed
And where does the Compliance Analyst fit into this?
The purpose of the Compliance Analyst is to assist Questrade in complying with anti-money laundering (AML) and anti-terrorist financing (ATF) legislation, and complying with Questrade’s internal AML and ATF policies and procedures. This will be achieved through the day-to-day activities performed under the supervision of the AML Compliance Supervisor.
What’s it like working as a Compliance Analyst at Questrade?
The Compliance Analyst shall be responsible for adhering to all aspects of Questrade’s AML and ATF policies and procedures and for documenting all cases referred for compliance review.
Need more details? Keep reading...
**The Compliance Analyst is responsible for**:
- Performing day-to-day activities associated with Questrade’s AML and ATF program, as assigned
- Performing daily monitoring of large international EFTs
- Gathering information for case work
- Performing initial reviews of unusual activity referred for compliance review
- Providing recommendations based on his/her research to the leadership team - Filing of suspicious transaction reports
- Providing ongoing support to the compliance department
- Performing other duties, as assigned
**The Compliance Analyst is expected to**:
- Be proficient in with FINTRAC Guidelines For securities dealers
- Become proficient in Questrade compliance policies and procedures - Become proficient in Questrade’s data management systems, including QOffice, BPS and FSS
- Establish positive relationships with internal clients in other business units
- Work cooperatively with multiple departments during investigations
- Take ownership of processing and completing of all tasks as assigned
So are YOU our next Compliance Analyst? You are if
- Minimum 2 years’ experience in the Canadian financial industry
- Canadian Securities Course (CSC)
- Proficient in Microsoft Excel and Word
- Post-secondary degree/diploma in related field
- 6-12 months experience with an IIROC member firm or equivalent Financial Institution
- Knowledge of the investment industry
**Professional Development Recommendations(assets)**:
- Conduct and Practice Handbook Course (CPH)
- Solid knowledge of FINTRAC Guidelines for securities dealers
- AML industry continuing education courses
- Participation in industry associations, conferences and workshops
Sounds like you? Click below to apply
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