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 Analyst, Client Onboarding. Could It Be You?
The purpose of the Compliance Analyst, Client Onboarding is to support the Compliance Client Onboarding team with account opening. The individual will be responsible to ensure efficient processing of client requests, updates and account approvals.
The Compliance Analyst will review and approve client accounts in accordance with IIROC/FINTRAC regulations and Questrade’s internal operations procedures, while continually being vigilant of the customer experience.
Need more details? Keep reading…
In this role, responsibilities include but are not limited to:
- Review and approve/reject accounts as per our pre-established guidelines and regulations
- Review and approve/reject option trading for clients as per regulations
- Review and approve/reject AT participants on the accounts
- Perform client due diligence on new and existing accounts
- Support the “Gatekeeper” duty at the account opening stage
- Support our AML policies at all level of account administration
- Be knowledgeable about recent regulatory updates and changes
- Assist our sales and customer service team in dealing with different account opening issues
- Review client cases, on hold accounts and resolve them or re-assign them properly
- Escalate accounts to Enhanced Due Diligence for review, where necessary.
- Liaise with other business units including CSS, Sales and Operations with respect to account opening issues.
- Other duties as assigned
So are YOU our next Compliance Analyst, Client Onboarding? You are if you…
- Have proven knowledge of securities industry
- Possess excellent written and verbal communication skills
- Demonstrate excellent computer skills, especially MS Excel
- Maintain excellent organizational skills
- Utilize problem solving and analytical skills
- Bring customer service experience is an asset
Additional kudos if you…
- Are eligible for registration with CIRO as a Supervisor, Non-Trading, or have successfully completed, or be able to successfully complete, the following CIRO exams:
- Supervisor Exam
- Derivatives Exam
- Have a minimum of 2 years of relevant work experience at a CIRO-regulated dealer.
- Bring hands-on experience in account onboarding and KYC Due Diligence.
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!
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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.
