BenefitsHealth & wellbeing resources and programsPaid vacation, personal, and sick days for work-life balanceCompetitive compensation and advantages 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 environmentResponsibilitiesEnsuring operational compliance with internal policies and procedures, as well as CIRO, MX and OSC rules and those of other provincial and territorial securities commissions, regulators, and legislatures.Representing Questrade Inc. during audits and examinations with regulators (CIRO, MX, OSC)Assisting in the development, documentation, implementation and oversight of the business conduct platform and controls (marketing, advertising, communications)Working with management in the development and enhancement of products and services to ensure compliance with applicable laws and regulationsCoordinating development, maintenance and implementation of supporting policies, procedures, agreements and contractsAssisting and coordinating all regulatory reporting in a timely manner. Working closely with regulators and third parties to coordinate, prepare and manage audits.Assisting with internal audits and reviewsEnsuring compliance for assigned line of businessTaking ownership of processing and completing of all tasks as assignedActing as a source of knowledge of the company and regulatory compliance requirementsInitiating a communication that ensures a clear understanding of compliance standards required of individualsConducting daily and monthly account activity supervision,



research and act on detected compliance issues and violationsRecommending improvements to internal controls and business processesCompleting client risk assessmentsInvestigating and determining 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 needsAssisting with the preparation of submissions to regulators for new business lines or new product proposalsQualificationsHave completed the Canadian Securities Course (CSC)Have completed the Investment Dealers Supervisors Course (IDSC)Have completed the Conduct and Practice Handbook Course (CPH)Have completed the Options Licensing Course (OLC)Have completed the Derivatives Fundamental Course (DFC)Have a Post-secondary degree/diploma in a related fieldHave a registration with CIRO as a Supervisor, Non-TradingHave 5+ years industry experience preferredHave 5+ years related experience required preferably in a senior compliance roleAre proficient knowledge in the use of Microsoft Excel, Word, BloombergHave strong knowledge of IIROC (IDPC, UMIR)



and CSA regulatory rulesHave In-depth knowledge of the Canadian securities industryHave trade desk experience or experience in compliance monitoring of a Trade deskHave excellent verbal and written communication skillsHave excellent organizational and follow-through skillsHave exceptional attention to detailAre confident and accountableAdditional qualificationsHave completed or are pursuing an Futures Licensing Course (FLC)Have completed or are pursuing the Canadian Commodity Supervisors Exam (CCSE)Are proficient in SQL, Power BIAre pursuing or completed a CFA designationCompensationBase salary range: $115,000 - $125,000The 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.Equal Opportunity EmploymentAt 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.#J-18808-Ljbffr

📌 Manager, Compliance (Toronto) - C$115,000 - C$125,000 A Year (Winnipeg)
🏢 Questrade
📍 Winnipeg