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 setting with at least 3 days in office Opportunities to contribute to community causes We’re looking for our next Compliance Analyst, Enterprise Compliance.

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.



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.

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.

Acting as a source of knowledge on company and regulatory compliance requirements. Maintaining working knowledge of internal policies and procedures, and of the external regulatory requirements applicable to QFG's various entities (Questrade Inc., 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. Engaging openly with coaching and feedback, and applying it consistently in subsequent work.

So are YOU our next Compliance Analyst, Enterprise Compliance? Hold a post-secondary degree or diploma in Business Administration, Commerce, Finance, Economics, Law, or a related field Have banking and investment products knowledge 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 Are receptive to coaching and feedback, with consistent follow-through Have experience in a compliance, risk management, or audit role Have completed the Mortgage or lending-related courses 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 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 Officer Full Time ( f/m) H/F M/F (Toronto)
🏢 Questrade Financial Group
📍 Toronto