Compliance Analyst, Enterprise Compliance

Compliance Analyst, Enterprise Compliance

North American Centre, 5700 Yonge St, North York, ON M2N 5M9, Canada

70 York St, Toronto, ON M5J 1S9, Canada

Job Description

Questrade Financial Group (QFG) , through its companies - Questrade, Questbank, Questrade Wealth Management, Community Trust Company, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. We use cutting-edge technology to help Canadians become much more financially successful and secure.

At QFG, we combine human-centric collaboration with AI-driven innovation to redefine financial services. The ideal candidate will be a catalyst for change, using AI to transform and deliver unparalleled customer experiences and shaping a future where AI empowers our teams to do their best work.

Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits. If you share this 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 Compliance Analyst, Enterprise Compliance. Could It Be You?

The Enterprise Compliance (EC) team ensures that Questrade and its affiliates operate within the rules and regulations prescribed by the Canadian Investment Regulatory Organization (CIRO), the Ontario Securities Commission (OSC), the Financial Consumer Agency of Canada (FCAC), and other provincial and territorial securities commissions, regulators, and legislators.

QuestEnterprise is seeking a motivated individual who is interested in pursuing a career in compliance, with proven analytical skills, a high degree of accountability and professionalism, strong organizational skills, solid oral and written communication skills, attention to detail, exceptional follow-through, and a strong sense of ethics.

The Compliance Analyst supports the Senior Manager, Enterprise Compliance, in the supervision of employee and firm conduct — including conducting audits and control testing, responding to production orders and document requests from external parties, and investigating escalated client complaints and reporting to regulators.

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

Investigations and client responses:

• Investigating escalated client complaints in a fair, transparent, objective, and factual manner.
• Drafting detailed written responses sent directly to clients, meeting the quality and formatting standards required for client-facing correspondence.
• Ensuring that regulatory timelines for complaints handling are consistently met.
• Identifying and escalating emerging issues, patterns, or trends to the appropriate parties.

Regulatory requests and reporting:

• Gathering documentation and preparing draft responses to requests for information from various regulators, including formal Production Orders from securities authorities and law enforcement.
• Completing detailed reporting and analysis for subsidiaries to report to their Boards of Directors on a quarterly basis.

Monitoring, due diligence, and administration:

• Monitoring and assessing compliance by Questrade, staff, and clients.
• Conducting due diligence on potential conflicts of interest.
• Reviewing employee disclosures related to outside activities, gifts & entertainment, and annual attestations.
• Acting as a source of knowledge on company and regulatory compliance requirements.
• Providing committee administration support.

Knowledge and recordkeeping:

• Maintaining working knowledge of internal policies and procedures, and of the external regulatory r