Corporate Compliance Administrator

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

We're looking for our next Corporate Compliance Administrator and Executive Assistant. Could It Be You?

The purpose of the Corporate Compliance Administrator and Executive Assistant is to provide high-level administrative and organizational support to the Compliance department and the Chief Compliance Officer. This position is vital to ensuring the smooth and efficient operation of the department by managing executive schedules, coordinating key compliance activities, and handling a wide array of administrative tasks. 

The role serves as a key liaison between the Compliance department and other business units, actively contributing directly to the company's ability to meet its regulatory obligations and maintain a strong culture of compliance.

Need more details? Keep reading…

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

• Provide comprehensive administrative support to the Chief Compliance Officer and their leadership team, including managing complex calendars, coordinating travel, and processing expense reports, and assisting with departmental budget tracking and memberships.

• Ensure proactive communication and task completion by conducting a weekly review meeting with the CCO and diligently tracking and following up on pending action items from all meetings.

• Collaborate closely with Executive Assistants across the organization to align on priorities and facilitate the effective execution of firm-wide projects and initiatives.

• Oversee the end-to-end process for Executives' Annual Attestations, ensuring timely completion, follow-up, and accurate record-keeping.

• Back up the Onboarding Team for account approval, requiring the candidate to be registered in order to approve new accounts.

• Provide essential backup support for NRD Filings, particularly for registered Executives.

• Coordinate with the Legal team monthly regarding new entities and potential executive reportable outside activities. Update OA trackers and documentation, then coordinate with the registration team for accurate and timely regulatory filings.

• Prepare and assemble materials for key regulatory and internal reports, including weekly statistics, quarterly committee packages, and quarterly board reports.

• Manage the Continuing Education (CE) Program by maintaining the CE Tracker, distributing memos and reminders, and updating portals to ensure all registrants meet their requirements. 

• Manage the CTC/Bank Board Learning Tracker and send reminders quarterly. 

• Plan, coordinate, and execute departmental meetings and events, including the annual Compliance Town Hall and leadership offsites.

• Develop and prepare high-quality presentation materials for various needs, including internal training, new employee orientation, external engagements, and general meetings.

• Oversee the complete lifecycle of the department's internal documentation by organizing annual compliance plans, uploading all updates to Policies & Procedures (P&Ps), and maintaining the Compliance intranet pages and organizational charts.

• Coordinate with the RegTech Management team to upload plans to Resolver for monitoring and ensure the P&P NotebookLM is current.

• Implement and maintain a systematic and confidential filing system for both physical and electronic documents, ensuring that records are well-organized and easily accessible for audits or internal review.

• Handle necessary departmental logistics, such as registering staff for regulatory conferences & training, managing the Compliance distribution list, and coordinating IT support for leadership onboarding/exit and general issues (e.g., addressing IT tickets)

• Other ad hoc duties as required

So are YOU our next Corporate Compliance Administrator and Executive Assistant? You are if you…

• Have a post-secondary degree or diploma in business administration, legal studies, or a related field

• Have a minimum of 2 years of relevant experience with an investment dealer, a Mutual Fund Dealer Member, portfolio manager, or an entity governed by a recognized foreign regulatory organization

• Have 3-5 years of experience as a senior administrative or executive assistant supporting senior leadership in a regulated environment like financial services or legal.

• Have direct experience in a compliance department

• Have advanced skills in G Suite and Microsoft Office, especially with advanced skills in calendar management, PowerPoint, Excel, and Visio.

• Have superior organizational and time-management skills, with a proven ability to prioritize tasks, manage multiple deadlines, and operate effectively in a fast-paced environment.

• Have meticulous attention to detail for preparing accurate reports, managing compliance documentation, and coordinating events flawlessly.

• Have excellent written and verbal communication skills, with the ability to correspond professionally and effectively with internal and external stakeholders at all levels.

• Have demonstrated the ability to handle sensitive and confidential information with the utmost discretion and maintain a high degree of professionalism.

Additional kudos if you…

• Have completed the Investment Dealer Supervisor Course or are willing to complete

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.