Compliance Officer

Role Overview The purpose of the Compliance Officer is to assist Questrade in the supervision of client and account activity and provide support investigating escalated complaints and document requests from external regulators.

Benefits

Health & wellbeing resources and programs

Paid vacation, personal, and sick days

Competitive compensation and benefits packages

Work‑life balance in a hybrid environment with at least 3 days in office

Career growth and development opportunities

Opportunities to contribute to community causes

Work with diverse team members in an inclusive and collaborative environment

Responsibilities

Investigate client complaints escalated to Compliance and draft written responses as delegated by the Manager, Business Integrity

Gather documentation and responses to requests for information from various regulators including formal Production Orders from securities authorities and law enforcement

Complete detailed reporting and analysis for subsidiaries to report to their Board of Directors on a quarterly basis

Monitor and assess compliance by Questrade, staff, and clients

Review red flag escalations from client‑facing staff for seniors/vulnerable clients and account appropriateness

Act as a source of regulatory knowledge to support business units and new initiatives within the organization

Committee administration

Conduct internal audits

Maintain a compliance record‑keeping system

Other ad hoc duties as assigned

Qualifications & Skills

4‑year post‑secondary degree and 1‑2 years financial services experience

Proficient in Microsoft Excel

Exceptional verbal and written skills with the ability to communicate to all audiences in a clear and compelling manner

Strong organization and time‑management skills

Completion or enrolment in Canadian Securities Course (CSC) is an asset

Knowledge of the mortgage and lending industry, including cost of borrowing disclosure and other regulatory requirements

Demonstrates analytical, problem‑solving, and resourcefulness skills

Collaborates and communicates effectively

Professional Development Recommendations: Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Investment Dealer Supervisors Course (IDSC), Derivatives Fundamentals & Options Licensing Course (DFOL), Experience working in a CIRO Dealer

Compensation

Base salary range: $70,000 - $85,000

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

Accommodation Statement 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