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. 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.

Paid vacation, personal, and sick days for work-life balance Work-life balance in a hybrid environment with at least 3 days in office Opportunities to contribute to community causes We're looking for our next Compliance Officer. The purpose of the Compliance Officer is to assist in the supervision of business and client account activity and provide support for compliance-related requests and regulatory responsibilities.

The Compliance

Officer shall be responsible for assisting in the administration of all aspects of Questrade's compliance and supervision programs to ensure that the company's business conduct and client trading activity comply with Questrade's policies and procedures, CIRO Rules, and all other laws and regulations.

The Compliance

Officer will also engage in a periodic testing plan to provide reasonable assurance that Questrade is complying with its market data requirements.

The Compliance

Officer will test business unit operational functions and suggest improvements or remediation where necessary. Proficient in all Questrade compliance policies and procedures. Provide support to the Manager for reports to Senior Leadership.





Act as a source of knowledge for all company and regulatory compliance requirements. Monitor and assess compliance by Questrade, its staff, and clients. Assist in conducting daily and monthly monitoring and testing associated with Questrade's Compliance program, including: Trade Surveillance on equities, fixed income, and over-the-counter (OTC) derivative activity.

Regulatory

Reporting. Assist in monitoring personal trading of Questrade employees, including registrants. Initiate communication that ensures a explicit understanding of compliance standards required of individuals.

Administer various compliance audits and prepare formal memorandums summarizing the results of such reviews. Identify and define requirements from NYSE, NASDAQ, and other market data providers, and define requirements for operational and technology teams. Provide support and guidance to Compliance Analyst staff, where needed.

Assist other compliance teams with monitoring or testing functions as required. So are YOU our next Compliance Officer? Post-secondary degree/diploma in a related field. ~Proficient knowledge in the use of Microsoft Excel/Word. ~ Assets: It includes a comprehensive benefits plan and a competitive incentive (bonus) program for Full-Time Permanent roles.

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. 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.

📌 Compliance Specialist- Monitoring & Testing (Toronto)
🏢 Questrade Financial Group
📍 Toronto