Compliance Analyst, Business Integrity

Questrade Financial Group (QFG), through its companies - Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, Zolo, and Flexiti Financial Inc., provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. Questrade uses cutting-edge technologies to develop innovative products that give customers better, more affordable ways to take control of their money. 
 
We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team members will help you conquer challenges, push boundaries and discover what you are truly capable of.
 
At QFG, we have a culture of innovation where technology serves people—both our team and our customers. We see AI as a collaborative and transformative enabler, and we are seeking forward-thinking individuals who can effectively integrate it into their daily work. The ideal candidate will be a catalyst for change, helping us use AI to create a more efficient and rewarding employee experience while also developing cutting-edge solutions that delight and serve our customers. Join us in shaping a future where AI empowers our team to do their best work and helps us deliver unparalleled customer experiences. 

This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, with a hybrid working environment you can unleash your creativity and curiosity with no limits. If you share the same sense of infinite possibility, come shape your future at QFG.

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

This job posting is for an existing vacancy.

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

The Enterprise Business Integrity (EBI) team ensures that Questrade and its affiliates operate within the rules and regulations prescribed by the Canadian Investment Regulatory Organization (CIRO), the Ontario Securities Commission (OSC), the Financial Consumer Agency of Canada (FCAC) and other provincial and territorial securities commissions, regulators and legislators.

This position sits within the Consumer Protection team (part of EBI), which is in charge of various compliance programs enterprise-wide including the investigation of escalated client complaints and reporting to regulators.

The Compliance Analyst, Business Integrity is primarily responsible for investigating escalated client complaints received by the Enterprise Business Integrity team. The Compliance Analyst, will also leverage new technologies including AI tools in order to increase the efficiency of assigned tasks.

Need more details? Keep reading…

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

• Review escalated clients complaints in a fair, transparent, objective, and factual manner, and issue detailed written responses to clients.
• Ensure that regulatory timelines for complaints handling are consistently maintained.
• Maintain knowledge of the internal policies & procedures, and external regulatory requirements of QFG’s various entities (including Questrade Inc, QWM, CTC, Questbank, Flexiti and Zolo).
• Identify and escalate any issue or trends to relevant parties.
• Ensure maintenance of complete records, providing a clear audit trail for complaints.
• Gather information requested by various regulators and prepare responses for review.
• Administer various compliance audits & testing, and prepare formal memorandums summarizing the results of such reviews.
• Provide support to the Manager & Director, Business Integrity for reports to Senior Management and Compliance Committees.
• Take ownership of processing and completing all tasks as assigned.
• Adapt to new technologies including leveraging AI to streamline investigations.
• Assist with the creation and deployment of training materials to other employees to foster a culture of compliance with consumer protection requirements.

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

• Have a post secondary degree/diploma in Business Administration / Commerce, Finance, Economics, Law or in a related field
• Have knowledge of banking & investment products.
• Have the ability to make decisions independently based on available information.
• Have the ability to break down complex or multi-dimensional problems, interpret and determine relevancy of information, and use reasoning to identify options and solutions.
• Have strong planning, organizational and time-management skills - including the ability to identify tasks and resources required to complete investigations within pre-determined timelines.
• Have strong written and oral communication skills, including the ability to communicate effectively and professionally with clients, internal and external stakeholders in a clear and concise manner.
• Have the ability to understand and adapt to new technologies including leveraging AI to streamline investigations and other tasks.

Additional kudos if you…

• Have previous experience in a compliance, risk management or audit role.
• Have knowledge of retail securities trading and capital markets
• Have excellent computer skills, particularly working with database applications, and complex formulas within spreadsheets (Excel or Google Sheets).
• Are bilingual in French and English.
• Have completed courses in: Canadian Securities Course (CSC), Conduct and Practice Handbook Course (CPH), Derivatives Fundamental Course (DFC), Options License Course (OLC) and/or Options Supervisor Course (OPSC)

Compensation Information:

• Base salary range: $65,000 - $75,000
• The 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!

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