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Corporate Compliance, Chief Compliance Officer, Chief Privacy Officer and Complaints Officer (Canada), VP
State Street
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Full-time
The Vice President, Corporate Compliance serves as the senior compliance executive for State Street's Canadian operations, providing independent oversight of regulatory compliance risk…
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JPMorganChase
Toronto, ON
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We're looking for a Compliance Officer to support JPMorgan's Payments business in Canada. In this role, you'll work with business and support functions to help ensure payments activities…
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JPMorgan Chase & Co.
Canada
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We’re looking for a Compliance Officer to support JPMorgan’s Payments business in Canada. In this role, you’ll work with business and support functions to help ensure payments activities…
Compliance Officer
Canada Development Investment Corporation (CDEV)
Toronto, ON
Full-time
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Compliance Officer
Government of Alberta
Edmonton, AB
Reporting to the Manager of Compliance, the Compliance Officer conducts regulatory compliance activities to support market conduct oversight within Alberta's insurance industry. The…
Health Compliance Officer
Government of Alberta
Red Deer, AB
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iA Financial Group
Montreal, QC · Quebec, QC
Full-time
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Compliance Officer
Questrade Financial Group
Toronto, ON
We’re looking for our next Compliance Officer. Could It Be You?
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Job Title: Health Compliance Officer - Continuing Care
Branch Compliance Officer
Edward Jones
Mississauga, ON
$77,000 to $127,000 CAD / year
Full-time
We are seeking a detail oriented and proactive Branch Compliance Officer for our Compliance team. The Branch Compliance Officer is responsible for performing delegated tier one supervisory…
Compliance Officer
Government of Alberta
Edmonton, Alberta
As a Compliance Officer, you will be responsible for fulfilling Branch responsibilities including, but not limited to:
Compliance Officer (Regulatory)
CIRO / OCRI
Toronto, Ontario
Full-time
…the investment industry and role of the CCO such as the Chief Compliance Officer Exam or other legacy courses such as the Chief Compliance Officers Qualifying Exam (CCO) and Investment…
Added 19 hours ago
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TD
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…and sources business from TD customers and directly across…
Added 19 hours ago
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Burlington, ON
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Compliance Officer
Windcave
Toronto, ON
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We are looking for a detail-oriented and experienced compliance officer to join our team in our Canada office Compliance. You will be responsible for monitoring compliance risks,…
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Jobgether
Canada
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This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Compliance Officer based in Canada.
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Jobgether
Canada
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This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Compliance Officer based in Canada.
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Toronto, ON · Burlington, ON
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iA Financial Group
Montreal, QC · Quebec, QC
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…and maintains a direct relationship with the Chief Investment Officer, who acts as Ultimate Designated Person (UDP) under National Instrument 31-103. The incumbent also maintains a…
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iA Financial Group (Industrial Alliance)
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IKO North America
Toronto, ON · Greater Toronto Area, Canada
$124,000 to $154,000 CAD / year
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We are looking for a Senior Tax & Compliance Officer to join our team of skilled professionals at our Family Office based in Toronto, ON. This is a full-time permanent opportunity with an…
Senior Compliance Officer
Raymond James
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As a Senior Compliance Officer, you will play an important role in ensuring the firm's adherence to industry regulations and internal policies. Your primary responsibility will be…
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Questrade Financial Group

Compliance Officer

Toronto, ON, Canada

Pay: Base salary range: $75,000- $85,000

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At a glance

Automatically prepared from the listing. Check the original description for the full requirements.

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Responsibilities

The Compliance Officer assists in supervising business and client account activity to ensure adherence to company policies and regulatory requirements. They conduct daily and monthly monitoring, including trade surveillance and regulatory reporting, while providing support for compliance-related requests.

Requirements

Candidates must have a post-secondary degree or diploma and at least 2 years of experience with a CIRO member firm or equivalent financial institution. Proficiency in Microsoft Office and knowledge of retail securities trading and capital markets are required, along with CSC and CPH certifications.

Experience

2 to 5 years

Education

high school
professional certificate

Working hours

40 hours per week

Job type

Full-time

Work arrangement

Hybrid

Days in the office

Skills

Compliance monitoring
Trade surveillance
Regulatory reporting
Audit administration
Risk assessment
Financial services regulation
Microsoft Excel
Microsoft Word
Written communication
Verbal communication
Capital markets knowledge
Retail securities trading
Data analysis
Policy implementation

Benefits

Health and wellbeing resources
Paid vacation
Personal days
Sick days
Competitive compensation
Benefits packages
Career growth and development opportunities

Visa sponsorship

Not detected in the job text

Keywords

Compliance
CIRO
Trade Surveillance
Equities
Fixed Income
OTC Derivatives
Regulatory Reporting
Audit
CSC
CPH
Fintech
Risk Management
Financial Services
Securities
Capital Markets
Monitoring
Policy
Reporting
Data Analysis
Microsoft Office

Original 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 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!

#LI-Hybrid,

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.

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