Senior Manager, Compliance

• 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

• Ensure operational compliance with internal policies and procedures, as well as CIRO rules and those of other provincial and territorial securities commissions, regulators and legislatures
• Assist in the development, documentation, implementation and oversight of registerable activities with the supervisors and senior management of business units within QT Inc.
• Complete and deliver to securities commissions, reports regarding exempt market distributions in applicable jurisdictions
• Trade surveillance oversight of alert parameter governance
• Assist in the development, documentation, implementation and oversight of Securities Finance activities
• Work with management in the development and enhancement of products and services to ensure compliance with applicable laws and regulations
• Coordinate development, maintenance and implementation of supporting policies, procedures, agreements and contracts
• Assist and coordinate all regulatory reporting in a timely manner. Work closely with regulators and third parties to coordinate, prepare and manage audits.
• Assist with internal audits and reviews
• Ensure compliance for assigned line of business
• Take ownership of processing and completing of all tasks as assigned
• Act as a source of expert knowledge of the company and regulatory compliance requirements
• Initiate a communication that ensures a clear understanding of compliance standards required of individuals
• Conduct daily and monthly account activity supervision, research and act on detected compliance issues and violations
• Recommend improvements to internal controls and business processes
• Complete client risk assessments
• Investigate and determine the impact of any legislative or regulatory requirements (new or amended) and implementing all necessary changes into Questrade’s policy, end to end processes, or training needs
• Assist with the preparation of submissions to regulators for new business lines or new product proposals
• Perform other duties, as assigned, to assist in all areas of compliance at Questrade

• Have in-depth knowledge of the Canadian securities industry
• Have trade desk experience or experience in compliance monitoring of a Trade desk
• Have a post-secondary degree/diploma in a related field
• Have proficient knowledge in the use of Microsoft Excel, Word, Bloomberg
• Have expert knowledge of CIRO (UMIR), MX (trading rules) and CSA regulatory rules
• Have 5+ years industry experience (preferred)
• Have 5+ years related experience required preferably in a senior compliance role
• Have excellent verbal and written communication skills
• Have excellent organizational and follow-through skills
• Have exceptional attention to detail
• Are confident and accountable
• Have the following Qualifications and Exams:

• Canadian Securities Course (CSC)
• Conduct and Practice Handbook Course (CPH)
• Options Licensing Course (OLC)
• Derivatives Fundamental Course (DFC)
• Branch Managers Course (BMC)
• Options Supervisors Course (OPSC)
• Investment Dealer Supervisors Course (IDSC)

• Have the following Professional Development courses/designations/experience:

• Futures Licensing Course (FLC)
• Canadian Commodity Supervisors Exam (CCSE)
• Proficiency in SQL, Power BI
• CFA designation is an asset

• Base salary range: $135,000 - $145,000
• 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.

Questrade