indeed
Manager, Compliance
Questrade Financial Group
Toronto, CAN
Full-time
Hybrid
$115,000 to $125,000.
Discovered 6 days ago
Canadian securities industryTrade conduct complianceTrade surveillanceCIRO regulationsUMIR regulationsCSA regulatory rules
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Canadian securities industryTrade conduct complianceTrade surveillance
Role Overview
Manager, Compliance serving as a trade conduct compliance subject matter expert and people manager.
The role supports Questrade Inc. compliance with Canadian investment rules and regulations prescribed by CIRO and provincial securities regulators.
The position covers compliance and supervision programs across multiple asset classes, with a focus on trade conduct compliance.
Key Skills for This Role
Canadian securities industryTrade conduct complianceTrade surveillanceCIRO regulationsUMIR regulationsCSA regulatory rules
Full Job Posting
Role Overview
Manager, Compliance serving as a trade conduct compliance subject matter expert and people manager.
The role supports Questrade Inc. compliance with Canadian investment rules and regulations prescribed by CIRO and provincial securities regulators.
The position covers compliance and supervision programs across multiple asset classes, with a focus on trade conduct compliance.
Responsibilities
- Ensure adherence to policies, procedures, and related regulations.
- Manage a small team and ad hoc compliance projects.
- Enhance compliance technology platforms, reports, and documentation.
- Prepare regulatory filings, audit requests, and responses.
- Oversee trade surveillance for multiple asset classes under UMIR and MX-R regulations.
- Conduct account activity supervision, compliance research, and client risk assessments.
- Recommend improvements to controls and business processes.
- Assist with regulatory submissions for new business lines and products.
Required Knowledge and Experience
- In-depth knowledge of the Canadian securities industry.
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