Senior Manager, Compliance

Questrade is on a mission to help Canadians to become much more financially successful and secure.

For nearly 30 years, Questrade Financial Group has been delivering on that mission through investing, banking, mortgages, and real estate. Together, we tilt finance in favour of ambitious Canadians, creating new ways for them to seize the financial future they deserve.

We're looking for people who are ready to enter their career inflection point. Mission-driven, exceptional folks that never settle. The work here is hard because the responsibility is real. If that's the standard you've been looking for, keep reading.

Req # 4279

The return on your career investment

• Compensation and incentives built to reward the value you bring.
• RRSP matching of up to 6%.
• Health and wellness resources and programs, including $5,000 in mental health practitioner coverage.
• $5,000 in tuition subsidies for job-related courses, every year.
• 100% parental top-up, up to 26 weeks for birthing parents and 18 weeks for non-birthing parents.
• A hybrid environment, with at least three days in the office built for working together.
• Paid vacation, personal, and sick days.
• A community care day to give back to the causes you care about.

This job posting is for an existing vacancy.

We’re looking for our next Senior Compliance Manager

Reporting to the Director, the successful Senior Manager, Compliance is a key subject matter expert and people manager with a focus on Trade Conduct Compliance (TCC) to steward Questrade Inc, compliance to uphold adherence to trading rules and regulations prescribed by the Canadian Investment Regulatory Organization (CIRO) and other provincial securities commissions and regulators.

The successful Senior Manager, Compliance shall be responsible for Questrade's compliance and supervision programs in multiple asset classes with a focus on TCC but also capturing, delivering and enhancing elements of Questrade’s policies and procedures. The role also requires a degree of people and project management, with comfort and fluidity with complementary technology platforms.

The mandate

In this role, you will:

• Ensure operational compliance with internal policies and procedures, as well as CIRO rules and those of other provincial and territorial securities commissions, regulators and legislatures
• Assist 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 to securities commissions, reports regarding exempt market distributions in applicable jurisdictions
• Trade surveillance oversight of alert parameter governance
• Assist in the development, documentation, implementation and oversight of Securities Finance activities
• Work with management in the development and enhancement of products and services to ensure compliance with applicable laws and regulations
• Coordinate development, maintenance and implementation of supporting policies, procedures, agreements and contracts
• Assist and coordinate all regulatory reporting in a timely manner. Work closely with regulators and third parties to coordinate, prepare and manage audits.
• Assist with internal audits and reviews
• Ensure compliance for assigned line of business
• Take ownership of processing and completing of all tasks as assigned
• Act as a source of expert knowledge of the company and regulatory compliance requirements
• Initiate a communication that ensures a clear understanding of compliance standards required of individuals
• Conduct daily and monthly account activity supervision, research and act on detected compliance issues and violations
• Recommend improvements to internal controls and business processes
• Complete client risk assessments
• Investigate and determine 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 needs
• Assist with the preparation of submissions to regulators for new business lines or new product proposals
• Perform other duties, as assigned, to assist in all areas of compliance at Questrade

You’re ready for this mandate if you have the following qualifications

• In-depth knowledge of the Canadian securities industry
• Trade desk experience or experience in compliance monitoring of a Trade desk
• Post-secondary degree/diploma in related field
• Proficient knowledge in the use of Microsoft Excel, Word, Bloomberg
• Expert knowledge of CIRO (UMIR), MX (trading rules) and CSA regulatory rules
• 5+ years industry experience preferred
• 5+ years related experience required preferably in a senior compliance role
• Excellent verbal and written communication skills
• Excellent organizational and follow-through skills
• Exceptional attention to detail
• Confident and accountable

Nice to have

Professional Development Recommendations (assets):

• 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 BI
• CFA designation is an asset

Compensation Information

• Base salary range: $ 115,000- $125,000
• 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.

Enter your career inflection point. Apply now.

#LI-Hybrid, #LI-Onsite

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.

Base salary range

$115,000—$125,000 CAD

Technology and AI

We mix human ingenuity with advanced technology. For ambitious builders like you, we provide the latest technology to enable your creativity. You'll have everything you need to build the best outcomes and products for our clients.

Diversity and Inclusion

At Questrade Financial Group of Companies, we’re committed to fostering a diverse, inclusive, and accessible work environment where individuals are treated with dignity and respect. Our global team reflects the diversity of the communities we serve and operate in.

Accessibility statement

Candidates selected for an interview are contacted directly. If you require accommodation during the recruitment or selection process, please let us know. We will work with you to meet your needs.

AI in hiring

Questrade Financial Group of companies Applicant Tracking System uses artificial intelligence (AI) for application screening. The AI system operates on predetermined criteria, with final decisions subject to human review.