Work In Tech

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

We’re looking for our next Compliance Officer, Business Integrity. Could It Be You?

The purpose of the Compliance Officer, Business Integrity is to assist in the supervision of employee and business activity and provide support for compliance related requests and regulatory responsibilities. The Compliance Officer shall be responsible for assisting in the administering of all aspects of Enterprise compliance and supervision programs to ensure that the company’s business conduct is in compliance with internal policies and procedures, regulatory requirements and all other laws and regulations.

Need more details? Keep reading…

In this role, responsibilities include but are not limited to:

• Proficient in all Questrade, Inc., QWM and CTC compliance policies and procedures pertaining to Business Integrity oversight functions.

• Provide support to the Senior Manager & Director, Business Integrity for reports to Senior Management and Compliance Committees

• Act as a source of knowledge of all the company and regulatory compliance requirements to provide guidance to other business units.

• Assist in monitoring and analyzing outside activities and gifts & entertainment of employees including registrants

• Monitor and assess compliance by employees, in accordance with the Violations & Sanctions policy

• 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

• Take ownership of processing and completing of all tasks as assigned

• Provide support and guidance to Compliance Analyst staff, where needed.

• Other duties as assigned

So are YOU our next Compliance Officer, Business Integrity? You are if you…

• Knowledge of the Canadian securities industry

• Proficient knowledge in the use of Microsoft Excel/Word

• Experience with G Suite (Google Docs, Google Sheets) is an asset

• Post secondary degree/diploma in related field

• 2 years or more experience with a CIRO member firm or equivalent Financial Institution

• Knowledge of retail securities trading and capital markets

• Excellent written and verbal communication skills

• Analytical and problem solving skills

Additional kudos if you have…

Knowledge and Experience in:

• Derivatives Fundamental Course (DFC)
• Options License Course (OLC)
• Options Supervisor Course (OPSC)
• Branch Managers Course (BMC)

Sounds like you? Click below to apply!

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