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 Analyst, QWM. Could It Be You?

The purpose of the Compliance Analyst (QWM) is to conduct surveillance on portfolio management and trading, suitability, and client related account activity.

The Analyst also supports various regulatory reporting processes and provides support handling compliance related requests as needed by the QWM compliance team.

The Compliance Analyst will work closely with Questrade Wealth Management, other compliance teams and business units to support the Questrade Wealth Management compliance program, which includes, reviews, monitoring, escalation and reporting in accordance with our documented policies and procedures.

Need more details? Keep reading…

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

• Perform day-to-day compliance monitoring and testing associated with Questrade Wealth Management including: Suitability, Regulatory Reporting, Portfolio Management and Trading.
• Become proficient in all Questrade Wealth Management Compliance policies and procedures.
• Recommend improvements to internal controls and business processes.
• Coordinate with all departments in identifying, developing and implementing quality improvements in response to business requirements and regulatory changes.
• Monitor and assess compliance by Questrade Wealth Management, staff, and clients.
• Perform other duties, as assigned, to assist in all areas of compliance at Questrade Wealth Management.
• Expected to become familiar with OSC rules and all other related laws and regulations.
• Adhere to Questrade Wealth Management’s compliance policies and procedures.
• Learn to investigate cases and perform initial case analysis to support senior compliance staff.
• Monitor and deploy employee training to capture all necessary requirements
• Participation in special projects as needed.
• Fulfill reporting obligations to various regulators.
• Provide preliminary support and guidance to other departments on compliance matters, when needed.

So are YOU our next Compliance Analyst, QWM? You are if you…

• Have a post-secondary degree in a related field
• Have high ethical standards and integrity
• Have natural curiosity and drive to learn
• Have analytical and problem solving skills
• Are organized and have great time management
• Have strong verbal and written communication skills

Additional kudos if you…

• Are proficient in technology related programs (SQL, Microsoft Excel, Google Sheets / G-Suite tools, PowerBI)
• Have the CSC, CPH, CIM
• Have knowledge of various financial products (Exchange traded funds, mutual funds, & other products)

Additional Information…

• Please note this role will be required to be in office 3 days a week

Sounds like you? Click below to apply!

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