Compliance Officer

Questrade Financial Group (QFG) is a company that provides a range of financial services leveraging cutting-edge technology. They are seeking a Compliance Officer who will be responsible for monitoring compliance programs, adhering to regulations, and supporting various compliance-related tasks.

Responsibilities

• Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including:Trade Surveillance Trade Desk Audits Regulatory ReportingMonitor and assess compliance by Questrade staff, and clients Performing other duties, as assigned, to assist in all areas of compliance at Questrade
• 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

Skills

• 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 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
• Canadian Securities Course (CSC)
• Conduct and Practice Handbook Course (CPH)
• Derivatives Fundamentals and Options Licensing (DFOL)
• Futures Licensing Course (FLC)

Benefits

• 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

Company Overview