Compliance Analyst, Client Onboarding

5700 Yonge St, North York, ON M2M 4G3, Canada Req #3194
Wednesday, February 19, 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, Client Onboarding. Could It Be You?

The purpose of the Compliance Analyst, Client Onboarding is to support the Compliance Client Onboarding team with account opening. The individual will be responsible to ensure efficient processing of client requests, updates and account approvals.

The Compliance Analyst will review and approve client accounts in accordance with IIROC/FINTRAC regulations and Questrade’s internal operations procedures, while continually being vigilant of the customer experience.

 

Need more details? Keep reading…

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

  • Review and approve/reject accounts as per our pre-established guidelines and regulations

  • Review and approve/reject option trading for clients as per regulations

  • Review and approve/reject AT participants on the accounts

  • Perform client due diligence on new and existing accounts

  • Support the “Gatekeeper” duty at the account opening stage

  • Support our AML policies at all levels of account administration

  • Be knowledgeable about recent regulatory updates and changes

  • Assist our sales and customer service team in dealing with different account opening issues

  • Review client cases, on hold accounts and resolve them or re-assign them properly

  • Escalate accounts to Enhanced Due Diligence for review, where necessary.

  • Liaise with other business units including CSS, Sales and Operations with respect to account opening issues.

  • Other duties as assigned

 

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

  • Have a post-secondary education in Finance or Economics

  • Have working knowledge of registered accounts such as RRSP, RESP, LIRA, RIF

  • Have minimum 2 years of work experiences at an organization registered with CIRO

  • Have successfully completed: IDSC (Investment Dealer Supervisors Course)

  • Have proven knowledge of the securities industry

  • Have excellent written and verbal communication skills

 

Additional kudos if you…

  • 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.

  • The Compliance Analyst, Client Onboarding will be required to support hours of operation as required (currently Tuesday - Saturday 9am to 5pm OR Sunday to Thursday 9am to 5pm)

 

Sounds like you? Click below to apply!

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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
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  • 5700 Yonge St, North York, ON M2M 4G3, Canada