Join Questrade Financial Group as a Compliance Manager and ensure operational excellence in compliance practices. This hybrid role combines expertise in securities regulation with leadership in internal policy adherence.
As the Compliance Manager, you will manage compliance initiatives and ensure that Questrade adheres to necessary regulations including CIRO and OSC rules. The ideal candidate will possess significant experience in compliance oversight, demonstrating an ability to develop, document, and implement effective compliance policies.
Key Responsibilities:
• Ensure compliance with internal policies and external regulations
• Serve as a liaison during audits with CIRO and OSC
• Document and enhance compliance policies and procedures
• Supervise compliance-related account activities
• Coordinate timely regulatory reporting and audits
Requirements:
• Must have completed Canadian Securities Course and related qualifications
• 5+ years in compliance, id...