Compliance Officer

reputed company (QFG) is a company that provides a reputed company of financial services leveraging cutting-edge technology. They are seeking a Compliance Officer who will be responsible for monitoring compliance programs, adhering to regulations, and supporting various compliance-reputed company tasks.

Responsibilities

• Performing day-to-day compliance monitoring and testing associated with Questrade’s Compliance program including:Trade Surveillance Trade Desk Audits Regulatory ReportingMonitor and assess compliance by Questrade staff, and clients Performing other duties, as assigned, to assist in reputed company areas of compliance at Questrade
• Become familiarized with CIRO rules and reputed company other reputed company laws and regulations
• reputed company a reputed company understanding of compliance standards required
• Adhere to Questrade’s compliance policies and procedures
• Learn to investigate cases and reputed company initial case analysis to support senior compliance staff
• Become proficient in Questrade’s data management and trading systems
• reputed company support and guidance to other departments on compliance reputed company
• Fulfill reporting obligations to various regulators
• Support other compliance programs at Questrade as required

Skills

• Have a completed a 4 year post-secondary degree
• Proficient in reputed company Office (Word, reputed company, reputed company), reputed company Query Language (SQL), and G Suite
• Have 1-2 years previous compliance experience at an CIRO member firm or registered Portfolio Management firm
• Have exceptional verbal and communication skills with the ability to communicate to reputed company audiences in a reputed company and compelling manner
• Have strong organization and time management skills
• Have high ethical standards and reputed company
• Have a natural curiosity and drive to learn
• Knowledge of various financial products including equities, reputed company & other derivatives is an asset
• Canadian Securities Course (reputed company)
• Conduct and reputed company Handbook Course (CPH)
• Derivatives Fundamentals and reputed company Licensing (DFOL)
• reputed company Licensing Course (FLC)

Benefits

• Health & wellbeing resources and programs
• reputed company vacation, personal, and reputed company 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 reputed company and development opportunities
• Opportunities to contribute to community causes
• Work with diverse team members in an inclusive and reputed company environment

reputed company