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.
At QFG, we combine human-centric collaboration with AI-driven innovation to redefine financial services. 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.
Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits. If you share this sense of infinite possibility, come shape your future at QFG.
What’s in it for you as an employee of QFG?
- Health & wellbeing resources and programs
- Paid vacation, personal, and sick days for work-life balance
- 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
This job posting is for an existing vacancy.
We’re looking for our next Supervisor, Business Integrity. Could It Be You?
The Compliance Supervisor is the central point of contact for the business for the compliance review and approval of marketing materials across QFG entities (Questrade Inc., QWM, Questbank, Flexiti, and Zolo) prior to publication, replacing the previous multi-approver model. The Supervisor holds, or promptly obtains, CIRO approval in the Supervisor category and acts as the designated Supervisor for advertisements, sales literature, and correspondence under section 3603 of the CIRO IDPC Rules. The role takes complete ownership of the approval process, works independently with minimal supervision, and engages specialized teams (including Legal, Tax, Privacy and other teams) only when required.
The initial allocation is approximately 90% marketing review and approval and 10% consumer protection support, with a focus on regulatory complaints. Over time, the marketing allocation is expected to decrease to approximately 50%, with the balance dedicated to the supervision and support of Compliance Officers and Compliance Analysts.
Need more details? Keep reading…
In this role, responsibilities include but are not limited to:
- Acting as the single point of contact for the compliance review and approval of marketing materials across all QFG entities, channels, and media prior to publication.
- Reviewing materials against all applicable requirements, including the CIRO IDPC Rule 3600 series and OEO guidance, NI 81-102 Part 15 and CSA Staff Notice 31-325 for QWM, FCAC Cost of Borrowing and Deposit Type Instruments Regulations for Questbank, Flexiti, and CTC products, CASL, the Competition Act, Ad Standards, and Quebec requirements (Consumer Protection Act, Charter of the French Language).
- Verifying claims substantiation, fair fee comparisons, performance data presentation, balanced disclosure of benefits and risks, and required disclaimers and membership disclosures.
- Owning and continuously improving the intake and approval workflow, and keeping marketing review policies, procedures, and checklists current.
- Performing regular sampling of live marketing against approvals and other audits.
- Delivering training and guidance to business units on marketing compliance requirements.
- Assisting the Enterprise Compliance team with escalated client complaints and regulatory complaint files, including investigations and draft responses to clients, regulators, and external reviewing bodies (CIRO, OSC, FCAC, OBSI), within regulatory timelines.
- Providing guidance, file review, and quality oversight to Compliance Officers and Compliance Analysts.
- Taking full ownership of files from intake through closure, and flag any risk to launch dates or regulatory timelines early.
- Adopting new technologies, including AI tools, and engaging openly with coaching and feedback.
So are YOU our next Supervisor, Business Integrity? You are if you…
- Have several years of compliance experience at a CIRO-regulated dealer or comparable regulated financial institution, including hands-on review and approval of marketing materials.
- Have a minimum of two years of relevant experience consistent with CIRO's requirements for Supervisor approval.
- Have knowledge of the CIRO IDPC Rules (3600 and 3900 series), OEO guidance, NI 81-102 Part 15, and CSA Staff Notice 31-325, with working knowledge of FCAC requirements, CASL, the Competition Act, Ad Standards, and Quebec marketing requirements.
- Have an ability to take complete ownership of a regulatory approval process and operate independently with minimal supervision, with sound judgment on when to engage specialists.
- Have strong written and oral communication skills, including precise, constructive feedback to Marketing.
- Have strong organization and recordkeeping across a high volume of concurrent reviews with fixed deadlines.
- Have an ability to supervise, coach, and develop Compliance Officers and Compliance Analysts.
- Have a willingness to adopt new technologies, including AI tools, and receptiveness to coaching and feedback.
Additional kudos if you…
- Have experience at an order execution only (OEO) or online brokerage, or with FCAC-regulated credit or deposit product advertising.
- Bilingualism in French and English.
Compensation Information:
- Base salary range: $95,000 - $105,000
- 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.
Sounds like you? Click below to apply!
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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. 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.
