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, Business Integrity. Could It Be You?

The purpose of the Compliance Analyst is to support the Manager, Business Integrity in the supervision of employee and firm conduct including conducting audits, control testing and responding to product orders and document requests from external parties.

The Compliance Analyst shall be responsible for assisting in the administering of Questrade’s Compliance and Supervision programs to ensure that the company is in Compliance with Questrade’s policies and procedures, CIRO/CSA Rules and all other laws and securities regulations.

Need more details? Keep reading…

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

• 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 employee's 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

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

• Are working towards or completed a 4-year post-secondary degree

• Are proficient in Microsoft Excel and Structured Query Language (SQL) or Power BI

• 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

Additional kudos if you…

• Have Completed or enrolled in Canadian Securities Course (CSC)

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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