Compliance Officer
Questrade Financial Group (QFG) is a company that provides a range of financial services leveraging cutting-edge technology. They are seeking a Compliance Officer who will be responsible for monitoring compliance programs, adhering to regulations, and supporting various compliance-related tasks.
Responsibilities
- Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including:Trade Surveillance Trade Desk Audits Regulatory ReportingMonitor and assess compliance by Questrade staff, and clients Performing other duties, as assigned, to assist in all areas of compliance at Questrade
- Become familiarized with CIRO rules and all other related laws and regulations
- Develop a clear understanding of compliance standards required
- 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 and trading systems
- Provide support and guidance to other departments on compliance matters
- Fulfill reporting obligations to various regulators
- Support other compliance programs at Questrade as required
Skills
- Have a completed a 4 year post-secondary degree
- Proficient in Microsoft Office (Word, Excel, Access), Standard Query Language (SQL), and G Suite
- Have 1-2 years previous compliance experience at an CIRO member firm or registered Portfolio Management firm
- Have exceptional verbal and communication skills with the ability to communicate to all audiences in a clear and compelling manner
- Have strong organization and time management skills
- Have high ethical standards and integrity
- Have a natural curiosity and drive to learn
- Knowledge of various financial products including equities, options & other derivatives is an asset
- Canadian Securities Course (CSC)
- Conduct and Practice Handbook Course (CPH)
- Derivatives Fundamentals and Options Licensing (DFOL)
- Futures Licensing Course (FLC)
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