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 Senior Manager, Compliance. Could It Be You?
The purpose of the Senior Manager, Compliance is to act as a key resource for the Director, Compliance in ensuring Questrade operates within the rules and regulations prescribed by the Canadian Investment Regulatory Organization (CIRO) and other provincial and territorial securities commissions, regulators and legislatures. The role will assume senior level mandates that will engage with Directors and senior executives as well as external regulators directly if the Director is not available.
The Senior Manager, Compliance shall be responsible for assisting in the administering of Questrade’s compliance and supervision programs with respect to trading and other activities to ensure that the company is in compliance with Questrade’s policies and procedures, CIRO Rules and all other laws and regulations. The Senior 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:
- Ensure operational compliance with internal policies and procedures, as well as CIRO rules and those of other provincial and territorial securities commissions, regulators and legislatures
- Assist in the development, documentation, implementation and oversight of registerable activities with the supervisors and senior management of business units within QT Inc.
- Complete and deliver to securities commissions, reports regarding exempt market distributions in applicable jurisdictions
- Trade surveillance oversight of alert parameter governance
- Assist in the development, documentation, implementation and oversight of Securities Finance activities
- Work with management in the development and enhancement of products and services to ensure compliance with applicable laws and regulations
- Coordinate development, maintenance and implementation of supporting policies, procedures, agreements and contracts
- Assist and coordinate all regulatory reporting in a timely manner. Work closely with regulators and third parties to coordinate, prepare and manage audits.
- Assist with internal audits and reviews
- Ensure compliance for assigned line of business
- Take ownership of processing and completing of all tasks as assigned
- Act as a source of expert knowledge of the company and regulatory compliance requirements
- Initiate a communication that ensures a clear understanding of compliance standards required of individuals
- Conduct daily and monthly account activity supervision, research and act on detected compliance issues and violations
- Recommend improvements to internal controls and business processes
- Complete client risk assessments
- Investigate and determine 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
- Assist with the preparation of submissions to regulators for new business lines or new product proposals
- Perform other duties, as assigned, to assist in all areas of compliance at Questrade
So are YOU our next Senior Manager, Compliance? You are if you…
- Have in-depth knowledge of the Canadian securities industry
- Have trade desk experience or experience in compliance monitoring of a Trade desk
- Have a post-secondary degree/diploma in a related field
- Have proficient knowledge in the use of Microsoft Excel, Word, Bloomberg
- Have expert knowledge of CIRO (UMIR), MX (trading rules) and CSA regulatory rules
- Have 5+ years industry experience (preferred)
- Have 5+ years related experience required preferably in a senior compliance role
- Have excellent verbal and written communication skills
- Have excellent organizational and follow-through skills
- Have exceptional attention to detail
- Are confident and accountable
- Have the following Qualifications and Exams:
- Canadian Securities Course (CSC)
- Conduct and Practice Handbook Course (CPH)
- Options Licensing Course (OLC)
- Derivatives Fundamental Course (DFC)
- Branch Managers Course (BMC)
- Options Supervisors Course (OPSC)
- Investment Dealer Supervisors Course (IDSC)
Additional kudos if you…
- Have the following Professional Development courses/designations/experience:
- Futures Licensing Course (FLC)
- Canadian Commodity Supervisors Exam (CCSE)
- Proficiency in SQL, Power BI
- CFA designation is an asset
Compensation Information:
- Base salary range: $135,000 - $145,000
- 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!
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