Compliance Officer

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 Officer. Could It Be You?

The purpose of the Compliance Officer is to assist Questrade in the supervision of client and account activity and provide support investigating escalated complaints and document requests from external regulators.

Need more details? Keep reading…

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

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

The Compliance Officer shall be responsible for assisting in the administering of all aspects of Questrade’s Compliance and Supervision programs to ensure that the Dealer is in Compliance with policies and procedures, CIRO,CSA and MX Rules, and all other applicable securities regulations.

The responsibilities of the Compliance Officer are as follows:

Investigate client complaints escalated to Compliance and draft written responses as delegated by the Manager, Business Integrity

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

Review red flag escalations from client facing staff for seniors/vulnerable clients and account appropriateness

Act as a source of regulatory knowledge to support business units and new initiatives within the organization

Committee administration

Conduct internal audits

Maintaining a compliance recordkeeping system

Other ad hoc duties as assigned

The Compliance Officer is expected to:

Become familiarized with CIRO, OSC and MX 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

Learn to investigate cases and perform initial case analysis to support senior compliance staff

Become proficient in Questrade’s data management systems, including QOffice and BPS

Work cooperatively with team members and other departments during investigations

So are YOU our next Compliance Officer? You are if you…

4 year post-secondary degree and 1-2 years financial services experience

Proficient in Microsoft Excel

Exceptional verbal and written skills with the ability to communicate to all audiences in a clear and compelling manner

Strong organization and time management skills essential

Completion or enrolment in Canadian Securities Course (CSC) is an asset

Have knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements

Demonstrates analytical, problem-solving, and resourcefulness skills

Collaborates and communicates effectively

Additional Kudos If You Have Professional Development Recommendations

Canadian Securities Course (CSC)

Conduct and Practices Handbook Course (CPH)

Investment Dealer Supervisors Course (IDSC)

Derivatives Fundamentals & Options Licensing Course (DFOL)

Experience working in a CIRO Dealer

Compensation Information:

Base salary range: $70,000 - $85,000

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!

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.