Questrade Financial Group (QFG), through its companies - Questrade, Questbank, Questrade Wealth Management, Community Trust Company, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. We use cutting-edge technology to help Canadians become much more financially successful and secure.
At QFG, we combine human-centric collaboration with AI-driven innovation to redefine financial services. The ideal candidate will be a catalyst for change, using AI to transform and deliver unparalleled customer experiences and shaping a future where AI empowers our teams to do their best work.
Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits. If you share this sense of infinite possibility, come shape your future at QFG.
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, Business Integrity. Could It Be You?
The Compliance Analyst, Business Integrity is responsible for investigating escalated client complaints, issuing detailed written responses to clients, and supporting the team's broader compliance and regulatory work.
Need more details? Keep reading…
In this role, responsibilities include but are not limited to:
- Investigating escalated client complaints in a fair, transparent, objective, and factual manner.
- Drafting detailed written responses that are sent directly to clients, to 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.
- Gathering information requested by regulators and prepare draft responses for review.
- 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 handled.
- Contributing to the development and deployment of training materials that foster a culture of consumer protection across the organization.
- Supporting compliance audits and testing, including preparing memorandums that summarize the results of such reviews.
- Supporting the Manager and Director, Business Integrity, with materials prepared for Senior Management and Compliance Committees.
- Taking ownership of assigned tasks from intake through closure, and raising blockers or questions promptly when they arise.
- 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. Receptiveness to feedback and reliable follow-through are core expectations of the role
So are YOU our next Compliance Analyst, Business Integrity? You are if you…
- Have knowledge of banking and investment products.
- Post-secondary degree or diploma in Business Administration, Commerce, Finance, Economics, Law, or a related field.
- Have a strong ability to make decisions independently based on the information available.
- Have a strong ability 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 and with internal and external stakeholders clearly, concisely, and professionally.
- Have a willingness and ability to adopt new technologies, including AI tools, in day-to-day work.
- Have a receptiveness to coaching and feedback, with consistent follow-through on what is discussed.
Additional kudos if you…
- Have previous experience in a compliance, risk management or audit role.
- Have knowledge of retail securities trading and capital markets
- Have strong computer skills, particularly with database applications, complex formulas in spreadsheets (Excel or Google Sheets), and use of AI tools.
- Are bilingual in French and English.
- Are completing the Canadian Securities Course (CSC)
- Are completing the Conduct and Practices Handbook Course (CPH)
- Are completing the Derivatives Fundamentals Course (DFC)
- Are completing the Options Licensing Course (OLC)
- Are completing the Options Supervisors Course (OPSC)
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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At Questrade Financial Group of Companies, with multiple office locations around the world, we are committed to fostering a diverse, inclusive and accessible work environment. This is an environment where individuals are treated with dignity and respect. Here, the unique skills and experience you bring will be valued. You will be supported and motivated, so that you can harness your unlimited potential. Our team reflects the diversity of the communities we serve and operate in. Having a collaborative and diverse team helps us push boundaries to bring the future of fintech into existence—not only for the benefit of our customers, but for those who build their career with us.
Questrade Financial Group of companies Applicant Tracking System utilizes artificial intelligence (AI) for application screening. The AI system operates on predetermined criteria, with final decisions subject to human review.
Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment/selection process, please let us know and we will work with you to meet your needs.
