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Open nowPosted 38 hours ago

Compliance Officer

Questrade Financial Group81 open roles

Pay
$70,000 – $85,000 a year
Where
5700 Yonge St, North York, ON M2M 4K2, Canada
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Your applicationOpen nowCompliance OfficerQuestrade Financial Group · 5700 Yonge St, North York, ON M2M 4K2, 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 Questrade Financial Group's own form.

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The clock on this job

Early applications get read.

12.9% of postings close within 7 days. Measured by our own scanner across the market. Questrade Financial Group postings stay open a median of 20 days.

Share of postings closed within
  1. 2.2%1 day
  2. 4.7%3 days
  3. 12.9%7 days
  4. 21.0%14 days
  5. 35.6%30 days
  6. 58.5%60 days
This job: posted 38 hours ago

Questrade Financial Group median: 20 days open

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 Officer, Business Compliance. Could It Be You?

Growth Portfolio is seeking a motivated Compliance Officer to support the day-to-day administration of compliance programs for Zolo Ventures Ltd. and its provincial real estate brokerages: Zolo Realty (Ontario) Inc., Zolo Realty (Alberta) Inc., and Zolo Realty (BC) Inc.

In this role you will manage Canada's Anti-Spam Legislation (CASL) and Unsolicited Telecommunications Rules (UTRs) compliance programs, Anti-Money Laundering (AML/FINTRAC) automation initiatives, website digital compliance auditing, and the lifecycle administration and annual renewal tracking of provincial entity licences and regulated role registries. You will drive CASL and UTR monitoring, testing, complaint handling, and training across a distributed network of independent real estate agents and brokerages.

You will work closely with Business and Product leadership, with guidance from the Brokers of Record, to ensure that digital marketplace campaigns, lead-routing disclosures, and listing data displays comply with all statutory standards before they reach consumers.

Need more details? Keep reading…

In this role, responsibilities include but are not limited to:

Managing and executing company-wide compliance programs covering CASL, CRTC UTRs, AML/FINTRAC requirements, and website digital compliance across all web and mobile platforms

Leading initiatives to automate AML/FINTRAC identity verification, KYC checks, and transaction monitoring, working cross-functionally with Operations, Product, Technology, and Engineering teams

Conducting systematic audits of customer-facing website user journeys, lead-capture forms, disclaimers, terms of service, and automated marketing flows

Establishing and managing Existing Business Relationship (EBR) verification and National Do Not Call List (DNCL) access controls within CRM and marketing systems

Maintaining, reviewing, and updating compliance policies, standard operating procedures (SOPs), and tiered disciplinary frameworks, and escalating material non-compliance or red-flag risks to executive leadership

Assisting with the triage, investigation, and resolution of consumer and regulatory complaints (CRTC, RECO, RECA, BCFSA, FSRA, Privacy), maintaining audit-ready records

Designing and delivering compliance training and awareness modules for independent contractor agents, brokerages, and mortgage representatives across Ontario, Alberta, British Columbia, and other provinces, and tracking adherence

Managing reporting inputs for senior management, affiliate Compliance Committees, and regulatory authorities

Monitoring legal and regulatory changes to assess operational impacts and recommend necessary adjustments

Reviewing consumer data storage protocols and third-party API data sharing, such as lead routing to partner brokerages, to guarantee legal consent compliance

Auditing and maintaining Zolo's public-facing Privacy Policy and Terms of Use

Managing and maintaining the master register of all regulated entities, provincial brokerage licences, and statutory roles, including Brokers of Record, Managing Brokers, Alternate/Secondary Brokers of Record, Branch Managers, and Principal Mortgage Brokers across Ontario, Alberta, British Columbia, and other operating jurisdictions

Monitoring and coordinating annual licensing renewal cycles, corporate regulatory filings, RECO/BCFSA/RECA/FSRA portal roster updates (such as RECO MyWeb, BCFSA IRIS, and myRECA), fee processing, and mandatory continuing education (CE) compliance for all designated brokerage leaders and corporate entities

Building working knowledge of CASL, the UTRs, and CRTC guidance, and developing an understanding of the regulatory landscape governing residential real estate brokerages and, ideally, mortgage brokerages in Canada (RECO, RECA, BCFSA, FSRA)

Investigating cases and performing initial case analysis to support senior compliance staff

Finding and implementing efficiencies using AI and other technology

Adhering to Questrade's and Zolo's compliance policies and procedures

So are YOU our next Compliance Officer, Business Compliance? You are if you…

Have a four-year post-secondary degree and 3–4 years of relevant compliance, financial services, or regulated-industry experience

Are proficient in Microsoft Excel and other data management tools

Have exceptional verbal and written communication skills, and can communicate clearly and professionally to a range of audiences, including independent contractor agents and senior stakeholders

Have strong organizational and time-management skills, and can manage multiple competing priorities in a fast-paced environment with regulatory deadlines

Demonstrate analytical, problem-solving, and investigative skills, with the attention to detail needed for accurate monitoring, testing, and recordkeeping, and can manage sensitive matters with discretion

Exercise sound judgment in day-to-day compliance matters, and know when to escalate issues to senior compliance staff

Collaborate effectively with diverse teams and individuals across business units

Have a working understanding of CRM, marketing technology, telephony, and related systems used to support consumer communications

Have a demonstrated interest in building a career in compliance, and are eager to develop deeper regulatory expertise over time

Bring the highest level of ethics, accountability, and professionalism to your work

Additional kudos if you…

Have familiarity with CASL and/or UTR requirements

Have exposure to residential real estate or mortgage brokerage regulation

Have completed, or are enrolled in, the Canadian Securities Course (CSC)

Have completed the Conduct and Practices Handbook Course (CPH)

Additional Information…

This position sits within QuestEnterprise Inc., in Compliance – Regulated Entities, and supports the Growth Portfolio: Cross Product function. The compliance programs you will administer are those of Zolo Ventures Ltd. and its provincial real estate brokerages.

This position reports to the Director of Product and Business, with a dotted line to the Chief Privacy and Governance Officer and to Enterprise AML, to draw on specialized expertise, align on regulatory interpretation, and share knowledge and best practices.

This position has no direct reports. You will partner closely with Operations Managers, Product Managers, and Legal Counsel.

This is a Full Time Regular position based in Toronto.

Compensation Information:

Base salary range: $70,000 - $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!

#LI-MP1 #LI-Hybrid

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