Compliance Analyst, Enterprise 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 Compliance Analyst, Enterprise Compliance. Could It Be You?
The Enterprise Compliance (EC) team ensures that Questrade and its affiliates operate within the rules and regulations prescribed by the Canadian Investment Regulatory Organization (CIRO), the Ontario Securities Commission (OSC), the Financial Consumer Agency of Canada (FCAC), and other provincial and territorial securities commissions, regulators, and legislators.
QuestEnterprise is seeking a motivated individual who is interested in pursuing a career in compliance, with proven analytical skills, a high degree of accountability and professionalism, strong organizational skills, solid oral and written communication skills, attention to detail, exceptional follow-through, and a strong sense of ethics.
The Compliance Analyst supports the Senior Manager, Enterprise Compliance, in the supervision of employee and firm conduct — including conducting audits and control testing, responding to production orders and document requests from external parties, and investigating escalated client complaints and reporting to regulators.

Need more details? Keep reading…
In this role, responsibilities include but are not limited to:
Investigations and client responses:

Investigating escalated client complaints in a fair, transparent, objective, and factual manner.

Drafting detailed written responses sent directly to clients, meeting the quality and formatting standards required for client-facing correspondence.

Ensuring that regulatory timelines for complaints handling are consistently met.

Identifying and escalating emerging issues, patterns, or trends to the appropriate parties.

Regulatory requests and reporting:

Gathering documentation and preparing draft responses to requests for information from various regulators, including formal Production Orders from securities authorities and law enforcement.

Completing detailed reporting and analysis for subsidiaries to report to their Boards of Directors on a quarterly basis.

Monitoring, due diligence, and administration:

Monitoring and assessing compliance by Questrade, staff, and clients.

Conducting due diligence on potential conflicts of interest.

Reviewing employee disclosures related to outside activities, gifts & entertainment, and annual attestations.

Acting as a source of knowledge on company and regulatory compliance requirements.

Providing committee administration support.

Knowledge and recordkeeping:

Maintaining working knowledge of internal policies and procedures, and of the external regulatory requirements applicable to QFG's various entities (Questrade Inc., QWM, Questbank, Flexiti, and Zolo).

Maintaining complete records that provide a clear audit trail for every complaint and matter handled.

Contributing to the development and deployment of training materials that foster a culture of consumer protection across the organization.

Auditing, testing, and team contributions:

Supporting compliance audits, business unit audits, and control testing, including preparing memorandums that summarize the results of such reviews.

Supporting the Manager and Director, Enterprise Compliance, with materials prepared for Senior Leadership and Compliance Committees.

Ways of working:

Taking ownership of assigned tasks from intake through closure, and raising blockers or questions promptly.

Adopting and applying new technologies, including AI tools, to make investigations and other tasks more efficient.

Engaging openly with coaching and feedback, and applying it consistently in subsequent work.

Cooperating effectively with team members and other departments during investigations.

So are YOU our next Compliance Analyst, Enterprise Compliance? You are if you…

Hold a post-secondary degree or diploma in Business Administration, Commerce, Finance, Economics, Law, or a related field

Have banking and investment products knowledge

Are able to make decisions independently based on the available information

Are able to break down complex or multi-dimensional problems, determine what information is relevant, and reason through to a defensible conclusion

Have strong planning, organizational, and time-management skills, including the ability to identify the tasks and resources required to complete an investigation within its regulatory timeline

Have strong written and oral communication skills, including the ability to communicate with clients, internal and external stakeholders clearly, concisely, and professionally

Are willing and able to adopt new technologies, including AI tools, for day-to-day tasks

Are receptive to coaching and feedback, with consistent follow-through

Additional kudos if you…

Have experience in the financial services industry

Have experience in a compliance, risk management, or audit role

Have completed relevant courses such as the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Derivatives Fundamentals Course (DFC) / Derivatives Fundamentals & Options Licensing Course (DFOL) and Branch Managers Course (BMC)

Have basic knowledge of FCAC legislation and codes of conduct

Have completed the Mortgage or lending-related courses

Have retail securities, trading and capital markets knowledge

Have an understanding of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements

Have strong technical skills, particularly with database applications, SQL or PowerBI, and complex formulas in spreadsheets (Excel or Google Sheets)

Are Bilingual, with written and verbal fluency in English and French

Compensation Information:

Base salary range: $65,000 - $75,000

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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