Our goal is simple: do the right thing.
Our Compliance department implements a compliance regime and supervisor systems to ensure compliance with all the rules, regulations, policies and legislation applicable to Questrade’s business. This department is responsible for reporting to management and the board of directors on Questrade’s level of compliance and for overall oversight of supervision functions to make sure we are always doing the right things. They’re passionate and committed, although it’s not always easy being the bad guy!
And where does the Compliance Analyst, Business Conduct Compliance fit into this?
The purpose of the Compliance Analyst, Business Conduct Compliance is to assist Questrade in the supervision of client and account activity and provide support handling compliance related requests, in particular complaints and regulatory requests for information.
What’s it like working as a Compliance Analyst, Business Conduct Compliance at Questrade?
Questrade is seeking a candidate who is interested in pursuing a career in compliance.. 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 Analyst shall be responsible for assisting in the administering of all aspects of Questrade’s Business Conduct Compliance and Supervision programs to ensure that the company is in Compliance with Questrade’s policies and procedures, IIROC Rules and all other laws and securities regulations.
Need more details? Keep reading…
As a Compliance Analyst, Business Conduct Compliance, you will investigate client complaints and draft written responses as delegated by the Designated Complaints Officer. You will gather documentation and responses to respond to requests for information from various regulators including formal Production Orders from securities authorities and law enforcement. You will complete reporting and analysis for the Compliance Committee and Board of Directors on a quarterly basis. You will monitor and assess compliance by Questrade, staff, and clients. You will assist in conducting daily and monthly account supervision and act as a source of knowledge of all the company and regulatory compliance requirements. You will gather information requested by various regulators and prepare responses for review by the Senior Manager, BCC. You will also be responsible for committee administration and ad-hoc audits.
You will become familiarized with IIROC rules and all other related laws and regulations. You will develop a clear understanding of compliance standards required by individuals. You will learn to investigate cases and perform initial case analysis to support senior compliance staff. You will become proficient in Questrade’s data management systems, including QOffice, salesforce and BPS. You will work cooperatively with team members and other departments during investigations. Lastly, you will support the Business Conduct team as required.
So are YOU our next Compliance Analyst, Business Conduct Compliance? You are if…
✔ You have completed a post-secondary degree
✔ You are proficient in Microsoft Excel/Word and Structured Query Language (SQL)/Power BI is an asset
✔ You have exceptional verbal and written communication skills with the ability to communicate to all audiences in a clear and compelling manner
✔ You have strong organization and time management skills
✔ You have demonstrated analytical, problem-solving, and research skills
Brownie points if…
✔ You have completed or are enrolled in Canadian Securities Course (CSC), Conduct and Practice Handbook Course (CPH), Branch Managers Course (BMC), and/or Derivatives Fundamentals & Options Licensing Course (DFOL)
✔ You have knowledge of IIROC Dealer Member rules
✔ You have basic knowledge of National Instrument 31-103
Sounds like you? Click below to apply!
Questrade is committed to providing reasonable accommodation for people with disabilities. If you require an accommodation, we will work with you to meet your needs in all stages of the hiring process.