Compliance Analyst

5700 Yonge St, North York, ON M2M 4G3, Canada Req #3175
Friday, February 7, 2025

Questrade Financial Group (QFG), through its companies - Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, ThinkInsure, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, insurance, 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.

 

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

 

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

The Compliance Analyst is 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 Analyst must adhere to applicable regulations as well as all aspects of Questrade’s 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’s Compliance program including Trade Surveillance, Trade Desk Audits and Regulatory Reporting

  • Monitor and assess compliance by Questrade, staff, and clients

  • Develop a clear understanding of compliance standards as required

  • 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

  • Become familiarized with IIROC rules and all other related laws and regulations

  • Perform other duties, as assigned, to assist in all areas of compliance at Questrade

  • Adhere to Questrade’s compliance policies and procedures 

  • Support other compliance programs at Questrade as required

 

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

  • Have completed a 4-year post-secondary degree

  • Are proficient in Microsoft Office (Word, Excel, Access), Standard Query Language (SQL), and G Suite

  • Have 1-2 years of experience at an IIROC member firm or registered Portfolio Management firm

  • Have exceptional verbal and written communication skills with the ability to communicate to all audiences in a clear and compelling manner

  • Have strong organizational and time management skills

  • Have high ethical standards and integrity

  • Have a natural curiosity and drive to learn

 

Additional kudos if you…

  • Have previous compliance experience

  • Have knowledge of various financial products including equities, options & other derivatives

  • Have completed your CSC, CPH, DFOL and/or other courses

 

Additional Information…

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



Sounds like you? Click below to apply!

#LI-MC1

#LI-HYBRID

 

At Questrade Financial Group of Companies, with multiple office locations around the world, we are committed to fostering a diverse, inclusive and accessible work environment. This is an environment where individuals are treated with dignity and respect. Here, the unique skills and experience you bring will be valued. You will be supported and motivated, so that you can harness your unlimited potential. Our team reflects the diversity of the communities we serve and operate in. Having a collaborative and diverse team helps us push boundaries to bring the future of fintech into existence—not only for the benefit of our customers, but for those who build their career with us. 

 

Questrade Financial Group of companies Applicant Tracking System utilizes artificial intelligence (AI) for application screening. The AI system operates on predetermined criteria, with final decisions subject to human review. 

 

Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment/selection process, please let us know and we will work with you to meet your needs.

 

Other details

  • Pay Type Salary
Apply Now
Location on Google Maps
  • 5700 Yonge St, North York, ON M2M 4G3, Canada