Compliance Risk Analyst

4 weeks ago

Toronto, Ontario, Canada Questrade Financial Group Full time
Compliance Analyst Job Description

At Questrade Financial Group, we are committed to fostering a diverse, inclusive, and accessible work environment where individuals are treated with dignity and respect. We are seeking a highly motivated and detail-oriented Compliance Analyst to join our team.

Key Responsibilities:
  • Conduct surveillance on portfolio management and trading, suitability, and client-related account activity.
  • Support various regulatory reporting processes and provide assistance with compliance-related requests as needed.
  • Work closely with the Supervisor, Questrade Wealth Management, other compliance teams, and business units to support the Questrade Wealth Management compliance program.
  • Perform day-to-day compliance monitoring and testing associated with Questrade Wealth Management, including suitability, regulatory reporting, portfolio management, and trading.
  • Recommend improvements to internal controls and business processes.
  • Coordinate with all departments to identify, develop, and implement quality improvements in response to business requirements and regulatory changes.
  • Monitor and assess compliance by Questrade Wealth Management, staff, and clients.
Requirements:
  • Post-secondary degree in a related field.
  • High ethical standards and integrity.
  • Natural curiosity and drive to learn.
  • Analytical and problem-solving skills.
  • Organized and excellent time management.
  • Strong verbal and written communication skills.
Assets:
  • Proficient in technology-related programs (SQL, Microsoft Excel, Google Sheets/G-Suite tools, PowerBI).
  • CSC, CPH, CIM.
  • Knowledge of various financial products (exchange-traded funds, mutual funds, and other products).

We offer a competitive compensation and benefits package, hybrid and flexible work arrangements, career growth and development opportunities, and a collaborative and diverse team environment. If you share our commitment to excellence and are passionate about compliance, we encourage you to apply.

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