Senior Manager, Compliance

Questrade Financial Group • North American Centre, 5700 Yonge St, North York, ON M2N 5M9, Canada • 3w ago

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

Additional kudos if you…

Have the following Professional Development courses/designations/experience:
- 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)
- Futures Licensing Course (FLC)
- Canadian Commodity Supervisors Exam (CCSE)
- Proficiency in SQL, Power BI
- CFA designation

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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