Compliance Officer
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 in the supervision of business and client account activity and provide support for compliance-related requests and regulatory responsibilities.
The Compliance Officer shall be responsible for assisting in the administration of all aspects of Questrade's compliance and supervision programs to ensure that the company's business conduct and client trading activity comply with Questrade's policies and procedures, CIRO Rules, and all other laws and regulations. The Compliance Officer will also engage in a periodic testing plan to provide reasonable assurance that Questrade is complying with its market data requirements. The Compliance Officer will test business unit operational functions and suggest improvements or remediation where necessary.
Need more details? Keep reading…
Proficient in all Questrade compliance policies and procedures.
Provide support to the Manager for reports to Senior Leadership.
Act as a source of knowledge for all company and regulatory compliance requirements.
Monitor and assess compliance by Questrade, its staff, and clients.
Assist in conducting daily and monthly monitoring and testing associated with Questrade's Compliance program, including:
Trade Surveillance on equities, fixed income, and over-the-counter (OTC) derivative activity.
Trade Desk Audits.
Regulatory Reporting.
Assist in monitoring personal trading of Questrade employees, including registrants.
Gather information requested by various regulators and prepare responses for review.
Initiate communication that ensures a clear understanding of compliance standards required of individuals.
Administer various compliance audits and prepare formal memorandums summarizing the results of such reviews.
Identify and define requirements from NYSE, NASDAQ, and other market data providers, and define requirements for operational and technology teams.
Take ownership of processing and completing all tasks as assigned.
Provide support and guidance to Compliance Analyst staff, where needed.
Assist other compliance teams with monitoring or testing functions as required.
Other duties as assigned
So are YOU our next Compliance Officer? You are if you…
Post-secondary degree/diploma in a related field.
2 years or more of experience with a CIRO member firm or equivalent Financial Institution.
Knowledge of retail securities trading and capital markets.
Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH).
Proficient knowledge in the use of Microsoft Excel/Word.
Excellent written and verbal communication skills.
Assets:
Experience with G Suite (Google Docs, Google Sheets).
Completion of IDSC, FLC, DFOL, or OPSC.
Knowledge of OTC derivatives, including Contracts for Difference.
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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