Skip to content
CV Rocket
Get started
How it worksThe enginePricingBlogContactSign in

Open nowPosted 31 days ago

Compliance Analyst, Enterprise Compliance

qfg70 open roles

Where
North American Centre, 5700 Yonge St, North York, ON M2N 5M9, Canada
Get the CV for this job

From $25 per CV, paid once. No subscription.

Your applicationOpen nowCompliance Analyst, Enterprise Complianceqfg · North American Centre, 5700 Yonge St, North York, ON M2N 5M9, Canada

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on qfg's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

7.8% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 1.6%1 day
  2. 3.4%3 days
  3. 7.8%7 days
  4. 14.3%14 days
  5. 33.7%30 days
This job: posted 31 days ago

The posting

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 Analyst, Enterprise Compliance. Could It Be You? 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.   Need more details? Keep reading… In this role, responsibilities include but are not limited to:  Investigations and client responses:

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.

Identifying and escalating emerging issues, patterns, or trends to the appropriate parties.

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.

Conducting due diligence on potential conflicts of interest.

Reviewing employee disclosures related to outside activities, gifts & entertainment, and annual attestations.

Acting as a source of knowledge on company and regulatory compliance requirements.

Providing committee administration support.

Knowledge and recordkeeping:

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 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.

Ways of working:

Taking ownership of assigned tasks from intake through closure, and raising blockers or questions promptly.

Adopting and applying new technologies, including AI tools, to make investigations and other tasks more efficient.

Engaging openly with coaching and feedback, and applying it consistently in subsequent work.

Cooperating effectively with team members and other departments during investigations.

  So are YOU our next Compliance Analyst, Enterprise Compliance? You are if you…

Hold a post-secondary degree or diploma in Business Administration, Commerce, Finance, Economics, Law, or a related field

Have banking and investment products knowledge

Are able to make decisions independently based on the available information

Are able to break down complex or multi-dimensional problems, determine what information is relevant, and reason through to a defensible conclusion

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

Have strong written and oral communication skills, including the ability to communicate with clients, internal and external stakeholders clearly, concisely, and professionally

Are willing and able to adopt new technologies, including AI tools, for day-to-day tasks

Are receptive to coaching and feedback, with consistent follow-through

  Additional kudos if you…

Have experience in the financial services industry

Have experience in a compliance, risk management, or audit role

Have completed relevant courses such as the Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), Derivatives Fundamentals Course (DFC) / Derivatives Fundamentals & Options Licensing Course (DFOL) and Branch Managers Course (BMC)

Have basic knowledge of FCAC legislation and codes of conduct

Have completed the Mortgage or lending-related courses

Have retail securities, trading and capital markets knowledge

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

  Compensation Information:

Base salary range: $65,000 - $75,000

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! #LI-NP1 #LI-Hybrid

From $25, paid onceGet the CV for this job

What happens when you press

One press. We do the rest.

  1. A CV for this posting

    Written against qfg's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on qfg's form

    Our application engine gets through the hardest forms there are. Where a question needs you, AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    qfg's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

    AI helps you write the email, checks it and sends it. We show you whether the recruiter read it.

  6. The interview in your calendar

    Full integration with your calendar. The invitation goes straight in.

    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
Get the CV for this job

From $25 per CV, paid once. No subscription.

Why it works

3×

more interviews than doing it yourself with ChatGPT.

ChatGPT writes a CV and never learns what happened to it. We see every reply. For each CV we know:

  • How it was written, and how the review scored it
  • When we applied, and how long after the posting went up
  • Which posting, which company, which city
  • Who got the interview, and who heard nothing

That is how we know which CVs get called.

Get the CV for this job

From $25 per CV, paid once. No subscription.

The numbers game

More applications. More interviews.

Every application goes out with its own CV, written for that posting and paid once. Send enough of them and the law of large numbers finds you the job.

Get the CV for this job
By hand5–10
With CV Rocket100
applications a day

Nearby

Live postings like this one

Same employer first, then the same role elsewhere.

Before you press

Straight answers

Get the CV for this job

From $25 per CV, paid once. No subscription.

What if my background isn't good enough?

We make the most of the background you have. The CV uses every piece of relevant proof your profile holds, and one of the 25 readers reads your whole profile and flags what the CV left out.

Do you really apply for me?

Yes, on the employer's own form, the hardest ones included. Where a question needs you, you answer it right there and AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

Is it a subscription?

No. You pay once per CV, from $25. Every application goes out with its own CV, written for that posting.

One job. One CV.
Paid once.

Pick the posting you want. We write for it, apply for you and catch the reply.

Get the CV for this job

From $25 per CV, paid once. No subscription.