Questrade Financial Group
Compliance Manager at Questrade
Job Description
Elevate compliance standards as the Compliance Manager for Questrade Financial Group. This role focuses on ensuring adherence to regulations while fostering a culture of accountability in a hybrid work environment.
As the Compliance Manager, you will play a pivotal role in overseeing compliance programs and ensuring Questrade aligns with internal policies and CIRO regulations. This position demands experience in regulatory compliance and supervision, as well as strong organizational and communication skills to facilitate audits, documentation, and regulatory reporting effectively.
Key Responsibilities:
• Ensure operational compliance with internal policies and CIRO regulations
• Represent Questrade during regulatory audits and examinations
• Develop and oversee business conduct policies and controls
• Manage regulatory reporting and coordinate audits
• Conduct compliance supervision and investigations
Requirements:
• Completed Canadian Securities Course and o...
As the Compliance Manager, you will play a pivotal role in overseeing compliance programs and ensuring Questrade aligns with internal policies and CIRO regulations. This position demands experience in regulatory compliance and supervision, as well as strong organizational and communication skills to facilitate audits, documentation, and regulatory reporting effectively.
Key Responsibilities:
• Ensure operational compliance with internal policies and CIRO regulations
• Represent Questrade during regulatory audits and examinations
• Develop and oversee business conduct policies and controls
• Manage regulatory reporting and coordinate audits
• Conduct compliance supervision and investigations
Requirements:
• Completed Canadian Securities Course and o...