Manager, Compliance

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 Manager, Compliance. Could It Be You? The Manager, Compliance shall be responsible for assisting in the administration of Questrade’s compliance and supervision programs with respect to Business Conduct Compliance -BCC) to ensure that the company follows Questrade’s policies and procedures, CIRO Rules and all other laws and regulations. The Manager, Compliance will also assist with documenting, implementing and maintaining compliance policies and procedures. Need more details? Keep reading… In this role, responsibilities include but are not limited to:  Ensuring operational compliance with internal policies and procedures, as well as CIRO, MX and OSC rules and those of other provincial and territorial securities commissions, regulators, and legislatures. Representing Questrade Inc. during audits and examinations with regulators (CIRO,MX,OSC) Assisting in the development, documentation, implementation and oversight of the business conduct platform and controls (marketing, advertising, communications) Working with management in the development and enhancement of products and services to ensure compliance with applicable laws and regulations Coordinating development, maintenance and implementation of supporting policies, procedures, agreements and contracts Assisting and coordinating all regulatory reporting in a timely manner. Working closely with regulators and third parties to coordinate, prepare and manage audits. Assisting with internal audits and reviews Ensuring compliance for assigned line of business Taking ownership of processing and completing of all tasks as assigned Acting as a source of knowledge of the company and regulatory compliance requirements Initiating a communication that ensures a clear understanding of compliance standards required of individuals Conducting daily and monthly account activity supervision, research and act on detected compliance issues and violations Recommending improvements to internal controls and business processes Completing client risk assessments Investigating and determining the impact of any legislative or regulatory requirements (new or amended) and implementing all necessary changes into Questrade’s policy, end to end processes, or training needs Assisting with the preparation of submissions to regulators for new business lines or new product proposals So are YOU our next Manager, Compliance? You are if you… Have completed the Canadian Securities Course (CSC)  Have completed the Investment Dealers Supervisors Course (IDSC)  Have completed the Conduct and Practice Handbook Course (CPH)  Have completed the Options Licensing Course (OLC)  Have completed the Derivatives Fundamental Course (DFC) Have a Post-secondary degree/diploma in related field Have a registration with CIRO as a Supervisor, Non-Trading Have 5+ years industry experience preferred Have 5+ years related experience required preferably in a senior compliance role Are proficient knowledge in the use of Microsoft Excel, Word, Bloomberg Have strong knowledge of IIROC (IDPC, UMIR) and CSA regulatory rules Have In-depth knowledge of the Canadian securities industry  Have trade desk experience or experience in compliance monitoring of a Trade desk  Have excellent verbal and written communication skills  Have excellent organizational and follow-through skills  Have exceptional attention to detail  Are confident and accountable Additional kudos if you… Have completed or are pursuing an Futures Licensing Course (FLC) Have completed or are pursuing the Canadian Commodity Supervisors Exam (CCSE) Are proficient in SQL, Power BI Are pursuing or completed a CFA designation  Compensation Information: Base salary range: $115,000 - $125,000 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