Compliance Officer

4 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 Officer. Could It Be You?
The purpose of the Compliance Officer is to assist in the supervision of business and client account activity and provide support for compliance related requests and regulatory responsibilities.

What’s it like working as a Compliance Officer at Questrade?
The Compliance Officer shall be responsible for assisting in the administering of all aspects of Questrade’s compliance and supervision programs to ensure that the company’s business conduct and client trading activity is in compliance with Questrade’s policies and procedures, CIRO Rules and all other laws and regulations. The Compliance Officer will also engage in a periodic testing plan to provide reasonable assurance that Questrade is complying with its’ market data requirements. The Compliance Officer will test business unit operational functions and suggest improvements or remediation where necessary.

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

- Proficient in all Questrade compliance policies and procedures
- Provide support to the Manager for reports to Senior Leadership
- Act as a source of knowledge of all the company and regulatory compliance requirements
- Monitor and assess compliance by Questrade, its staff and clients
- Assist in conducting daily and monthly monitoring and testing associated with Questrade’s Compliance program including:

- Trade Surveillance on equities, fixed income and over-the-counter (OTC) derivative activity
- Trade Desk Audits
- Regulatory Reporting
- Assist in monitoring personal trading of Questrade employees including registrants
- Gather information requested by various regulators and prepare responses for review
- Initiate communication that ensures a clear understanding of compliance standards required of individuals
- Administer various compliance audits and prepare formal memorandums summarizing the results of such reviews
- Identify and define requirements from NYSE, NASDAQ and other market data providers and define requirements for operational and technology teams
- Take ownership of processing and completing of all tasks as assigned
- Provide support and guidance to Compliance Analyst staff, where needed
- Assist other compliance teams with monitoring or testing functions as required
- Other duties as assigned

So are YOU our next Compliance Officer? You are if you
- Canadian Securities Course (CSC) and Conduct and Practice Handbook Course (CPH)
- Proficient knowledge in the use of Microsoft Excel/Word
- Experience with G Suite (Google Docs, Google Sheets) is an asset
- Post secondary degree/diploma in related field
- 2 years or more experience with a CIRO member firm or equivalent Financial Institution
- Knowledge of retail securities trading and capital markets
- Excellent written and verbal communication skills

Additional kudos if you
- Completion of IDSC, FLC, DFOL, or OPSC
- Knowledge of OTC derivatives including Contracts for Difference

Sounds like you? Click below to apply
L1-EP1

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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