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 balanceCompetitive compensation and benefits packagesWork-life balance in a hybrid environment with at least 3 days in officeCareer growth and development opportunitiesOpportunities to contribute to community causesWork with diverse team members in an inclusive and collaborative environment This job posting is for an existing vacancy We’re looking for our next Compliance Officer. Could It Be You?The purpose of the Compliance Officer is to assist Questrade in the supervision of client and account activity and provide support investigating escalated complaints and document requests from external regulators. Need more details? Keep reading…In this role, responsibilities include but are not limited to: Questrade is seeking a candidate who is interested in pursuing a career in compliance. We are seeking a motivated individual with proven analytical skills, a high degree of accountability and professionalism, strong organization skills, solid oral and written communication skills, attention to detail, exceptional follow-through and a strong sense of ethics.The Compliance Officer shall be responsible for assisting in the administering of all aspects of Questrade’s Compliance and Supervision programs to ensure that the Dealer is in Compliance with policies and procedures, CIRO,CSA and MX Rules, and all other applicable securities regulations. The responsibilities of the Compliance Officer are as follows: Investigate client complaints escalated to Compliance and draft written responses as delegated by the Manager, Business IntegrityGather 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 clientsReview red flag escalations from client facing staff for seniors/vulnerable clients and account appropriatenessAct as a source of regulatory knowledge to support business units and new initiatives within the organizationCommittee administrationConduct internal auditsMaintaining a compliance recordkeeping systemOther ad hoc duties as assigned The Compliance Officer is expected to: Become familiarized with CIRO, OSC and MX rules and all other related laws and regulationsDevelop a clear understanding of compliance standards required by individualsAdhere to Questrade’s compliance policies and proceduresLearn to investigate cases and perform initial case analysis to support senior compliance staffBecome proficient in Questrade’s data management systems, including QOffice and BPSWork cooperatively with team members and other departments during investigations So are YOU our next Compliance Officer? You are if you… 4 year post-secondary degree and 1-2 years financial services experienceProficient in Microsoft ExcelExceptional verbal and written skills with the ability to communicate to all audiences in a clear and compelling mannerStrong organization and time management skills essentialCompletion or enrolment in Canadian Securities Course (CSC) is an assetHave knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirementsDemonstrates analytical, problem-solving, and resourcefulness skillsCollaborates and communicates effectively Additional kudos if you have Professional Development Recommendations Canadian Securities Course (CSC)Conduct and Practices Handbook Course (CPH)Investment Dealer Supervisors Course (IDSC)Derivatives Fundamentals & Options Licensing Course (DFOL)Experience working in a CIRO Dealer Compensation Information: Base salary range: $70,000 - $85,000The final compensation package will be commensurate with the successful candidate's experience, skills, and geographic location (Canada). It includes a comprehensive benefits plan and a competitive incentive (bonus) program for Full-Time Permanent roles. Sounds like you? Click below to apply!#LI-Hybrid