Compliance Analyst, Business Integrity

4 weeks ago

Toronto, 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 work-life 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, Business Integrity. Could It Be You?
The purpose of the Compliance Analyst is to support the Manager, Business Integrity in the supervision of employee and firm conduct including conducting audits, control testing and responding to production orders and document requests from external parties.

What’s it like working as a Compliance Analyst, Business Integrity at Questrade?
The Compliance Analyst shall be responsible for assisting in the administering of Questrade’s Compliance and Supervision programs to ensure that the company is in Compliance with Questrade’s policies and procedures, CIRO/CSA Rules and all other laws and securities regulations.

Need more details? Keep reading

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

- Gather documentation and responses to respond to requests for information from various regulators including formal Production Orders from securities authorities and law enforcement.
- Complete detailed reporting and analysis for subsidiaries to report to their Board of Directors on a quarterly basis.
- Monitor and assess compliance by Questrade, staff, and clients
- Conduct due diligence on potential conflicts of interest
- Review employees disclosures related to outside activities, gifts & entertainment and annual attestations
- Act as a source of knowledge of all the company and regulatory compliance requirements
- Committee administration
- Business unit audits & testing

**The Compliance Analyst is expected to**:

- Become familiarized with CIRO, CSA and FCAC rules and all other related laws and regulations
- Develop a clear understanding of compliance standards required by individuals
- Adhere to Questrade’s compliance policies and procedures
- Become proficient in Questrade’s CRM systems
- Work cooperatively with team members and other departments during investigations

So are YOU our next Compliance Analyst, Business Integrity? You are if you
- Working towards or completed a 4 year post-secondary degree
- Proficient in Microsoft Excel and Structured Query Language (SQL) or PowerBI
- Exceptional verbal and communication skills with the ability to communicate to all audiences in a clear and compelling manner
- Strong organization and time management skills essential
- Completion or enrolment in Canadian Securities Course (CSC) is an asset
- Have knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements
- Demonstrates analytical, problem-solving, and resourcefulness skills
- Collaborates and communicates effectively

**Professional Development Recommendations(assets)**:

- Canadian Securities Course (CSC)
- Conduct and Practice Handbook Course (CPH)
- Branch Managers Course (BMC)
- Derivatives Fundamentals & Options Licensing Course (DFOL)
- Knowledge of CIRO Rules
- Basic knowledge of FCAC legislation and codes of conduct
- Mortgage or Lending related courses

Sounds like you? Click below to apply
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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.

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