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?

Questrade is seeking a candidate who is interested in furthering a career in compliance, trade surveillance or audit.  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 must adhere to applicable regulation as well as all aspects of Questrade’s policies and procedures.

Need more details? Keep reading…

The Compliance Officer is responsible for:

• Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including:
  

• Trade Surveillance

• Trade Desk Audits

• Regulatory Reporting
  

• Monitor and assess compliance by Questrade staff, and clients

• Performing other duties, as assigned, to assist in all areas of compliance at Questrade
   

The Compliance Officer is expected to:

• Become familiarized with CIRO rules and all other related laws and regulations

• Develop a clear understanding of compliance standards required

• 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 and trading systems

• Provide support and guidance to other departments on compliance matters

• Fulfill reporting obligations to various regulators

• Support other compliance programs at Questrade as required
  
  

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

• Have a completed a 4 year post-secondary degree

• Proficient in Microsoft Office (Word, Excel, Access), Standard Query Language (SQL), and G Suite

• Have 1-2 years previous compliance experience at an CIRO member firm or registered Portfolio Management firm

• Have a exceptional verbal and communication skills with the ability to communicate to all audiences in a clear and compelling manner

• Have strong organization and time management skills

• Have high ethical standards and integrity

• Have a natural curiosity and drive to learn

• Knowledge of various financial products including equities, options & other derivatives is an asset
  
  

Additional kudos if you…

• Knowledge of various financial products including equities, options & other derivatives is an asset

• Canadian Securities Course (CSC)

• Conduct and Practice Handbook Course (CPH)

• Derivatives Fundamentals and Options Licensing (DFOL)

• Futures Licensing Course (FLC)
  
  

Compensation Information:

• Base salary range: $75,000 - $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!

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