Compliance Manager, Business Integrity

7 months 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 Manager, Business Integrity (12 month contract). Could It Be You?
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.

Need more details? Keep reading
**In this role, responsibilities include but are not limited to**:

- 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.
- Prepare reports to the Board of Directors
- Work closely with regulators and third parties to coordinate, prepare and manage audits, examinations and reviews.
- 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
- Lead internal audits and reviews
- Conduct employee supervision including assessment of violations
- Recommend improvements to internal controls and business processes
- Represent Compliance in internal/external committees and working groups
- Review and approve marketing materials
- Maintain internal policies and procedures and recommend changes to existing controls, as necessary.
- Fosters a culture aligned to QFG purpose, values and strategy and role models QFG values and behaviours in all that they do.
- Improves team performance, recognizes and rewards performance, coaches employees, supports their development, and manages poor performance.

So are YOU our next Compliance Manager, Business Integrity (12 month contract)? You are if you
- In-depth knowledge of the Canadian securities industry, including CIRO and CSA regulations
- 5+ years industry experience
- 3+ years related experience required preferably in a compliance or audit role
- Experience in Compliance Programs including administering formal audits
- Excellent verbal and written communication skills
- Ability to manage ambiguity
- Analytical and problem solving skills

Additional kudos if you
- Canadian Securities Course
- Conduct & Practices Handbook Course
- Branch Managers Course or Investment Dealers Supervisors Course
- Courses or experience related to Mortgages or Banking

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