Compliance Officer

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 Officer. Could It Be You? Questrade is seeking a candidate who is interested in furthering a career in compliance, trade surveillance or audit.  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 must adhere to applicable regulation as well as all aspects of Questrade’s policies and procedures. Need more details? Keep reading… The Compliance Officer is responsible for: Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including: Trade Surveillance Trade Desk Audits Regulatory Reporting Monitor and assess compliance by Questrade staff, and clients Performing other duties, as assigned, to assist in all areas of compliance at Questrade  The Compliance Officer is expected to: Become familiarized with CIRO rules and all other related laws and regulations Develop a clear understanding of compliance standards required Adhere to Questrade’s compliance policies and procedures Learn to investigate cases and perform initial case analysis to support senior compliance staff Become proficient in Questrade’s data management and trading systems Provide support and guidance to other departments on compliance matters Fulfill reporting obligations to various regulators Support other compliance programs at Questrade as required So are YOU our next Compliance Officer? You are if you… Have a completed a 4 year post-secondary degree Proficient in Microsoft Office (Word, Excel, Access), Standard Query Language (SQL), and G Suite Have 1-2 years previous compliance experience at an CIRO member firm or registered Portfolio Management firm Have a exceptional verbal and communication skills with the ability to communicate to all audiences in a clear and compelling manner Have strong organization and time management skills Have high ethical standards and integrity Have a natural curiosity and drive to learn Knowledge of various financial products including equities, options & other derivatives is an asset Additional kudos if you… Knowledge of various financial products including equities, options & other derivatives is an asset Canadian Securities Course (CSC) Conduct and Practice Handbook Course (CPH) Derivatives Fundamentals and Options Licensing (DFOL) Futures Licensing Course (FLC) Compensation Information: Base salary range: $75,000 - $85,000 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!  #LI-Hybrid #LI-DB1