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    Senior Compliance Officer, Complaints - Toronto, ON, Canada - Questrade Financial Group

    Questrade Financial Group
    Questrade Financial Group Toronto, ON, Canada

    6 days ago

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    Description
    Compliance Officer, Business Integrity, QuestEnterprise

    Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure.

    At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team members will help you conquer challenges, push boundaries and discover what you are truly capable of.

    As a diverse and inclusive place to work, there are flexible working arrangements so you can unleash your creativity and curiosity with no limits.

    Hybrid and flexible work arrangements
    Opportunities to contribute to community causes
    We're looking for our next Compliance Officer, Business Integrity, QuestEnterprise.

    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.

    What's it like working as a Compliance Officer, Business Integrity, QuestEnterprise at Questrade?
    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 QFG's Compliance and Supervision programs to ensure that the company is in Compliance with QFG's policies and procedures, CIRO Rules, FCAC regulation 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
    Maintaining a compliance recordkeeping system
    The Compliance Officer is expected to:
    Become familiarized with CIRO, OSC and FCAC 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
    So are YOU our next Compliance Officer, Business Integrity, QuestEnterprise ? Proficient in Microsoft Excel
    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
    Professional Development Recommendations (assets):
    Derivatives Fundamentals & Options Licensing Course (DFOL)
    Mortgage or lending related courses

    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.

    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.

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