Questrade Financial Group (QFG) is a forward-thinking financial services company that leverages technology for innovative solutions. The Compliance Analyst, Business Integrity will support the Manager in supervising employee conduct through audits and compliance monitoring, ensuring adherence to company policies and regulatory requirements.
Responsibilities
- 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
- Conduct due diligence on potential conflicts of interest
- Review employees disclosures related to outside activities, gifts & entertainment and annual attestations
- Act as a source of knowledge of all the company and regulatory compliance requirements
- Committee administration
- Business unit audits & testing
- Become familiarized with CIRO, CSA 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
- Become proficient in Questrade’s CRM systems
- Work cooperatively with team members and other departments during investigations
Skills
- Are working towards or completed a 4 year post-secondary degree
- Are proficient in Microsoft Excel and Structured Query Language (SQL) or PowerBI
- Have exceptional verbal and communication skills with the ability to communicate to all audiences in a clear and compelling manner
- Have strong organizational, collaborative and time management skills
- Have knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements
- Have demonstrated analytical, problem-solving, and resourcefulness skills
- Have Completed or enrolled in Canadian Securities Course (CSC)
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
Questrade is an award-winning low-cost digital alternative to traditional banks that is changing the Canadian financial services industry. It was founded in 1999, and is headquartered in Toronto, Ontario, CAN, with a workforce of 1001-5000 employees. Its website is http://www.questrade.com.
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