Compliance Analyst, Complex Accounts Onboarding

1 week 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, 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, on-hold accounts and resolving them or re-assigning 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
- Post-secondary 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
- Problem-solving 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.

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