Compliance Analyst, Enterprise AML - North York, Ontario

Questrade Financial Group (QFG), through its companies - Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, Zolo, and Flexiti Financial Inc., provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, rea ...

Job description

Questrade Financial Group (QFG), through its companies - Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, Zolo, and Flexiti Financial Inc., provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. Questrade uses cutting-edge technologies to develop innovative products that give customers better, more affordable ways to take control of their money.

We are everything a traditional financial institution is not. 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.

At QFG, we have a culture of innovation where technology serves people—both our team and our customers. We see AI as a collaborative and transformative enabler, and we are seeking forward-thinking individuals who can effectively integrate it into their daily work. The ideal candidate will be a catalyst for change, helping us use AI to create a more efficient and rewarding employee experience while also developing cutting-edge solutions that delight and serve our customers. Join us in shaping a future where AI empowers our team to do their best work and helps us deliver unparalleled customer experiences.

This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, with a hybrid working environment you can unleash your creativity and curiosity with no limits. If you share the same 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 Analyst, Enterprise AML & Payments. Could It Be You?
The purpose of the Compliance Analyst is to assist Questrade in complying with anti-money laundering (AML) and anti-terrorist financing (ATF) legislation and complying with Questrade's internal AML and ATF policies and procedures. This will be achieved through the day-to-day activities performed under the supervision of the AML Compliance Supervisor.

Questrade is seeking a candidate who is interested in pursuing a career in compliance. We are seeking a motivated individual with strong organization skills, solid oral and written communication skills, attention to detail, exceptional follow-through and success in building relationships with business partners.

The Compliance Analyst shall be responsible for adhering to all aspects of Questrade's AML and ATF policies and procedures and assist with managing the financial crime exposure to the firm, the securities dealer's space, and any other sector Questrade Financial Group operates in.

Need more details? Keep reading…
In this role, responsibilities include but are not limited to:

The Compliance Analyst is responsible for:

• Performing day-to-day activities associated with Questrade's AML and ATF program, as assigned by the Director, AML Compliance
• Performing daily monitoring of large international EFTs
• Gathering information for case work
• Performing initial reviews of unusual activity referred for compliance review
• Providing recommendations based on his/her research to the Director, AML Compliance
• Filing of suspicious transaction reports
• Providing ongoing support to the compliance department
• Performing other duties, as assigned

The Compliance Analyst is expected to:

• Be proficient in FINTRAC Guidelines for securities dealers
• Become proficient in Questrade compliance policies and procedures
• Become proficient in Questrade's data management systems, including QOffice, BPS and FSS, and/or other related systems of our various products, i.e. LMS, Portfolio Plus, Worldcheck, NICE Actimize
• Establish positive relationships with internal clients in other business units
• Work cooperatively with multiple departments during investigations
• Become a subject matter expert in Questrade's AML and ATF policies, and assess and respond to internal client requests appropriately
• Take ownership of processing and completing of all tasks as assigned
• Leverage AI and available automation to complete daily tasks
• Drive process automation within the AML team, using AI to streamline core functions
• Identify opportunities to integrate AI-driven solutions that automate manual oversight and enhance risk detection

So are YOU our next Compliance Analyst, Enterprise AML & Payments? You are if you…

• Have a minimum of 2 years' experience in the Canadian financial industry
• Have completed the Canadian Securities Course (CSC) and successfully completed or are enrolled in the Conduct and Practices Handbook (CPH) (an asset)
• Are proficient in technology related programs (SQL, Microsoft Excel, Google Sheets / G-Suite tools, PowerBI)
• Have a post-secondary degree/diploma in a related field
• Have 6-12 months experience with a CIRO member firm or equivalent Financial Institution
• Have knowledge of the investment industry, crypto-currency, banking (an asset)

Additional Kudos If You…

• Have these Professional Development Recommendations:

• Certified Anti-Money Laundering Specialist (CAMS)

• Solid knowledge of FINTRAC Guidelines for securities dealers
• AML industry continuing education courses
• Participation in industry associations, conferences and workshops

Compensation Information:

• Base salary range: $65,000 - $75,000
• 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
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.