Current jobs related to Senior Manager, Compliance, RegTech Management - Toronto, Ontario - Questrade Financial Group

Questrade Financial Group (QFG), through its companies - Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, Zolo, and Flexiti Financial Inc., provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. Questrade uses cutting-edge technologies to develop innovative products that give customers better, more affordable ways to take control of their money. 
 
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.
 
At QFG, we have a culture of innovation where technology serves people—both our team and our customers. We see AI as a collaborative and transformative enabler, and we are seeking forward-thinking individuals who can effectively integrate it into their daily work. The ideal candidate will be a catalyst for change, helping us use AI to create a more efficient and rewarding employee experience while also developing cutting-edge solutions that delight and serve our customers. Join us in shaping a future where AI empowers our team to do their best work and helps us deliver unparalleled customer experiences. 

This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, with a hybrid working environment you can unleash your creativity and curiosity with no limits. If you share the same sense of infinite possibility, come shape your future at QFG.

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
• 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 Senior Manager, Compliance, RegTech Management. Could It Be You?

As the primary custodian of Questbank's eGRC ecosystem, the Senior Manager is a specialized individual contributor responsible for optimizing the Resolver platform as the "single source of truth" for regulatory compliance, internal audit, and operational risk management. Acting as the lead SME and primary liaison between Questbank Compliance and Technology, this role executes the RegTech roadmap to ensure monitoring and risk tools are configured to meet banking mandates (e.g., OSFI, FCAC, FINTRAC) and internal audit standards. The Senior Manager is further tasked to lead the discovery and champion the use of AI, identifying opportunities to integrate AI-driven solutions that automate manual oversight and enhance risk detection.

Need more details? Keep reading…

In this role, responsibilities include but are not limited to: 

Strategic Leadership & Oversight

• Establish and drive the multi-year vision, strategy, and roadmap for RegTech adoption and innovation.
• Oversee the continuous review and enhancement of current compliance processes through innovative technological solutions.
• Direct the provision of high-level compliance advisory support on all major enterprise-wide technology and product development projects, providing "leading edge" advice
• Preparing reports for the Board of Directors concerning recommendations for implementation, the status and risk of technology implementations, and the efficacy of regulatory compliance technology solutions.
• Participating in and representing the firm at various conferences, seminars, and industry committees to remain current on new and forthcoming regulations, best practices, and significant regulatory concerns.

Team Management

• Manage and mentor the team, including the Manager, Compliance, ensuring high performance, development, and expertise in RegTech and compliance
• Cultivate and manage strategic relationships with senior leaders (VPs, Directors) across Technology, Operations, and Business units to ensure RegTech priorities are aligned with business objectives.
• Training and helping the compliance team understand and embrace regtech solutions so that they also review current manual methodologies and how they can enhance efficiencies and controls through technology.
• Define and manage the RegTech program budget and resource allocation

RegTech Strategy & Execution

• Lead the design and implementation roadmap for future, mission-critical compliance systems, including case management, surveillance, and sanctions screening.
• Own and be accountable for the successful execution of the compliance plan and strategy for all complex technology implementations.
• Set the governance framework for the ethical and compliant use of emerging technologies, including Robotic Process Automation (RPA) and Artificial Intelligence (AI), within the compliance function.
• Using strong knowledge of leveraging prevalent technologies to review current compliance and compliance-related processes to determine if they can be enhanced using technology solutions.
• Responding to inquiries from business units and operations concerning various compliance issues related to technology or technology implementations.
• Executing the compliance plan in the context of complex implementations, collaborating closely with stakeholders while identifying and mitigating project-related risks.
• Keeping abreast of regulatory developments by monitoring industry and legislative publications and understanding impact to the business, especially those related to upcoming significant new rules, rule amendments and transforming our desired position and actions to address such developments into a technology solution.

So are YOU our next Senior Manager, Compliance, RegTech Management? You are if you…

• Have a university degree in Business, Finance, Law, Technology, or a related field.
• Have a post-graduate degree (e.g., JD, MBA, M.S. in Technology Management), preferred
• Have 8+ years of progressive experience in Compliance, RegTech, or Financial Services technology, with a minimum of 3 years in a leadership/people management capacity.
• Have relevant industry certifications (e.g., CAMS, CFE, PMP, relevant technical certifications), preferred
• Have a proven track record of defining and executing a multi-year technology strategy, preferably in a regulatory or compliance domain.
• Have knowledge of the firm's existing compliance and technology systems is a strong asset
• Have an ability to interpret rules using a digital mindset and deep technology expertise as well as understanding of leading edge technology compliance tools
• Have an aptitude for technological advancements as a way to improve efficiencies and effectiveness
• Have strong leadership skills as well as a strong ability to articulate information concisely, capture an audience, influence decisions
• Have strategic thinking skills: Ability to translate regulatory requirements and compliance strategy into executable technology solutions. 
• Have leadership skills: Proven ability to lead, develop, and motivate a specialized team. 
• Have stakeholder management experience: Exceptional communication skills and ability to influence senior cross-functional leaders. 
• Have strong relationship building skills: Establishes and manages healthy working relationships enterprise-wide to build trust and align stakeholders.
• Have technical fluency: Deep understanding of modern technology platforms and their application in a compliance context

Compensation Information:

• Base salary range: $130,000 - $150,000
• The final compensation package will be commensurate 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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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. 

Questrade Financial Group of companies Applicant Tracking System utilizes artificial intelligence (AI) for application screening. The AI system operates on predetermined criteria, with final decisions subject to human review. 

Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment/selection process, please let us know and we will work with you to meet your needs.