Compliance Analyst, Business Integrity
1 week ago
Health & wellbeing resources and programs
Paid vacation, personal, and sick days for work-life balance
Competitive compensation and benefits packages
Work-life balance in a hybrid environment with at least 3 days in office
Career growth and development opportunities
Opportunities to contribute to community causes
Work with diverse team members in an inclusive and collaborative environment
This job posting is for an existing vacancy.
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 product orders and document requests from external parties.
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
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…
Are working towards or completed a 4 year post-secondary degree
Are proficient in Microsoft Excel and Structured Query Language (SQL) or PowerBI
Have exceptional verbal and communication skills with the ability to communicate to all audiences in a clear and compelling manner
Have strong organizational, collaborative and time management skills
Have knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements
Have demonstrated analytical, problem-solving, and resourcefulness skills
Additional kudos if you…
Have Completed or enrolled in Canadian Securities Course (CSC)
Compensation Information:
Base salary range: $65,000 - $75,000
The final compensation package will be commensurated with the successful candidate's experience, skills, and geographic location (Canada). It includes a comprehensive benefits plan and a competitive incentive (bonus) program for Full-Time Permanent roles.
Sounds like you? Click below to apply
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