Questrade Financial Group (QFG), through its companies - Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, Zolo, and Flexiti Financial Inc., provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. Questrade uses cutting‑edge technologies to develop cutting-edge products that give customers better, more affordable ways to take control of their money.We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team members will help you conquer challenges, push boundaries and discover what you are truly capable of.At QFG, we have a culture of innovation where technology serves people—both our team and our customers. We see AI as a collaborative and transformative enabler, and we are seeking forward‑thinking individuals who can effectively integrate it into their daily work. The ideal candidate will be a catalyst for change, helping us use AI to create a more efficient and rewarding employee experience while also developing cutting‑edge solutions that delight and serve our customers. Join us in shaping a future where AI empowers our team to do their best work and helps us deliver unparalleled customer experiences.This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, with a hybrid working environment you can unleash your creativity and curiosity with no limits. If you share the same 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 programsPaid vacation, personal, and sick days for work‑life balanceCompetitive compensation and benefits packagesWork‑life balance in a hybrid environment with at least 3 days in officeCareer growth and development opportunitiesOpportunities to contribute to community causesWork with diverse team members in an inclusive and collaborative environmentThis 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 administration 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.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 legislaturesAssist 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 reports regarding exempt market distributions in applicable jurisdictions to securities commissionsTrade surveillance oversight of alert parameter governanceAssist in the development, documentation, implementation and oversight of Securities Finance activitiesWork with management in the development and enhancement of products and services to ensure compliance with applicable laws and regulationsCoordinate development, maintenance and implementation of supporting policies, procedures, agreements and contractsAssist and coordinate all regulatory reporting in a timely manner; work closely withregulators and third parties to coordinate, prepare and manage auditsAssist with internal audits and reviewsEnsure compliance for assigned line of businessTake ownership of processing and completing of all tasks as assignedAct as a source of expert knowledge of the company and regulatory compliance requirementsInitiate communication that ensures a clear understanding of compliance standards required of individualsConduct daily and monthly account activity supervision, research and act on detected compliance issues and violationsRecommend improvements to internal controls and business processesComplete client risk assessmentsInvestigate and determine the impact of any legislative or regulatory requirements (new or amended)



and implement all necessary changes into Questrade’s policy, end‑to‑end processes, or training needsAssist with the preparation of submissions to regulators for new business lines or new product proposalsPerform other duties, as assigned, to assist in all areas of compliance at QuestradeSo are YOU our next Senior Manager, Compliance? You are if you…Have in‑depth knowledge of the Canadian securities industryHave trade desk experience or experience in compliance monitoring of a Trade deskHave a post‑secondary degree/diploma in a related fieldHave proficient knowledge in the use of Microsoft Excel, Word, BloombergHave expert knowledge of CIRO (UMIR), MX (trading rules) and CSA regulatory rulesHave 5+ years industry experience (preferred)Have 5+ years related experience required preferably in a senior compliance roleHave excellent verbal and written communication skillsHave excellent organizational and follow‑through skillsHave exceptional attention to detailAre confident and accountableAdditional 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 BICFA designationCompensation InformationBase salary range: $135,000 - $145,000The 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.Questrade Financial Group of Companies is committed to fostering a diverse, inclusive and accessible work environment. This is an environment where individuals are treated with dignity and respect. 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 careers with us.At 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.#J-18808-Ljbffr

📌 Senior Manager, Compliance - C$135,000 - C$145,000 A Year (Winnipeg)
🏢 Questrade Financial Group
📍 Winnipeg