Compliance Officer

Questrade Financial Group (QFG) is a company that provides a range of financial services leveraging cutting-edge technology. They are seeking a Compliance Officer who will be responsible for monitoring compliance programs, adhering to regulations, and supporting various compliance-related tasks. Responsibilities Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including:Trade Surveillance Trade Desk Audits Regulatory ReportingMonitor and assess compliance by Questrade staff, and clients Performing other duties, as assigned, to assist in all areas of compliance at Questrade 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 Skills 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 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 Canadian Securities Course (CSC) Conduct and Practice Handbook Course (CPH) Derivatives Fundamentals and Options Licensing (DFOL) Futures Licensing Course (FLC) Benefits 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 Company Overview Questrade is an award-winning low-cost digital alternative to traditional banks that is changing the Canadian financial services industry. It was founded in 1999, and is headquartered in Toronto, Ontario, CAN, with a workforce of 1001-5000 employees. Its website is