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 Compliance Officer. Could It Be You?
The Compliance Officer, Business Integrity is responsible for leading investigations into escalated client complaints, drafting substantive responses to clients and regulators, liaising with external reviewing bodies, and monitoring the resolution of issues identified through investigations.
This role is suited to candidates with established compliance experience, ideally including direct complaints-handling experience. Officers are expected to manage their caseload independently, apply mature judgment to each investigation, and contribute to the development of more junior team members.
Need more details? Keep reading…
In this role, responsibilities include but are not limited to:
- Leading the investigation of escalated client complaints from intake through resolution, applying sound investigative reasoning at each stage of the file.
- Identifying and assessing relevant evidence, weighing material information, and reaching defensible conclusions on the file.
- Drafting detailed written responses sent directly to clients, to the quality and formatting standards required for client-facing correspondence.
- Ensuring that regulatory timelines for complaints handling are consistently met.
- Identifying, reporting, and monitoring the resolution of issues surfaced through investigations including process gaps, system limitations, and coaching or training needs.
- Gathering information requested by regulators and prepare draft responses for review.
- Maintaining working knowledge of internal policies and procedures, and of the external regulatory requirements applicable to QFG's various entities (Questrade Inc, QWM, Questbank, Flexiti, and Zolo).
- Maintaining complete records that provide a clear audit trail for every complaint handled.
- Contributing to the development and deployment of training materials that foster a culture of consumer protection across the organization.
- Supporting compliance audits and testing, including preparing memorandums that summarize the results of such reviews.
- Identifying and escalating emerging patterns or trends to the appropriate parties.
- Supporting the Manager and Director, Business Integrity, with materials prepared for Senior Management and Compliance Committees.
- Providing guidance and support to Compliance Analysts on investigation methodology, client letter drafting, internal procedures, and regulatory interpretation.
- Contributing to the development and deployment of training materials that foster a culture of consumer protection across the organization.
- Taking ownership of assigned files from intake through closure, and raise any item that may put a regulatory timeline at risk well before the deadline.
- Adopting and applying new technologies, including AI tools, to make investigations and other tasks more efficient.
- Engaging openly with coaching and feedback, and offering it constructively to peers and junior team members.
So are YOU our next Compliance Officer You are if you…
- Post-secondary degree or diploma in Business Administration, Commerce, Finance, Economics, Law, or a related field
- Have multiple years of experience in compliance, risk management, audit, or a directly
comparable function, with experience handling escalated complaints.
- Have strong knowledge of banking and investment products, retail securities trading, and capital markets.
- Have strong critical thinking and analytical reasoning, including the ability to weigh evidence, distinguish material from immaterial information, and reach defensible conclusions independently.
- Have a strong ability to manage a caseload of complex investigations with minimal supervision.
- Have strong written and oral communication skills, including the ability to draft client-facing letters and regulator responses that are clear, accurate, complete, and appropriately formatted.
- Have strong planning, organizational, and time-management skills, including reliable management of multiple files against fixed regulatory timelines.
- Have a strong ability to coach and support more junior compliance staff.
- Have the willingness and ability to adopt new technologies, including AI tools, in day-to-day work.
- Have receptiveness to coaching and feedback, with consistent follow-through on what is discussed
Additional kudos if you…
- Have specific prior experience with complaints handling at a regulated financial institution, regulatory body, or external reviewing body (e.g., CIRO, OSC, FCAC, OBSI, provincial commissions).
- Have an ability to write and execute SQL queries to extract, filter, and analyze data from internal databases for compliance reviews.
- Have an ability to use complex formulas in spreadsheets (Excel or Google Sheets).
- Bilingualism in French and English.
- Canadian Securities Course (CSC)
- Conduct and Practices Handbook Course (CPH)
- Derivatives Fundamentals Course (DFC)
- Options Licensing Course (OLC)
- Options Supervisors Course (OPSC)
Compensation Information:
- Base salary range: $75,000 - $85,000
- 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.
