We're looking for our nextCompliance Supervisor (Registration), Business Integrity. Could It Be You?The Supervisor, Business Integrity will work closely with other compliance teams and business units in conducting audits & testing ensuring reviews, monitoring, escalation and reporting is undertaken in accordance with documented policies and procedures. The Supervisor will act as the key subject matter expert on matters related to corporate and individual registration. The Supervisor will also be responsible for keeping up to date with regulatory changes across the enterprise and advising management in relation to employee and firm conduct requirements.
Need more details? Keep reading...In this role, responsibilities include but are not limited to:
- Working with stakeholders in the development and enhancement of products to ensure compliance with applicable laws and regulations; coordinate development and maintenance of supporting policies and procedures
- Assisting and coordinating all regulatory reporting in a timely manner.
- Preparing quarterly reports to the Questrade Group of Companies
- Working with relevant business units to apply for registration with securities regulators and other lines of business as required.
- Keeping our corporate registration profiles up to date; completing filings to regulators as needed.
- Working closely with regulators and third parties to coordinate, prepare and manage audits, examinations and reviews.
- Providing coaching/leadership to compliance officers and/or analysts
- Acting as a key resource for business units of company and regulatory business conduct compliance requirements
- Initiating communication that ensures a clear understanding of compliance standards required of employees and business units
- Leading internal audits and reviews
- Conducting employee supervision including assessment of violations
- Recommending improvements to internal controls and business processes
- Monitoring employee disclosures including assessment of outside activities, gifts & entertainment and conflicts of interest
- Representing Compliance in internal/external committees and working groups
- Maintaining internal policies and procedures and recommending changes to existing controls, as necessary.
- Fostering a culture aligned to QFG purpose, values and strategy and role models QFG values and behaviours in all that they do.
So are YOU our next Compliance Supervisor (Registration), Business Integrity? You are if you...- Have in-depth knowledge of the Canadian securities industry, including SRO and CSA regulations
- Have 5+ years industry experience
- Have 3+ years related experience required preferably in a compliance or audit role
- Have experience in Compliance Programs including administering formal audits
- Have excellent verbal and written communication skills
- Have ability to manage ambiguity
- Have analytical and problem solving skills
Additional kudos if you...- Canadian Securities Course
- Conduct & Practices Handbook Course
- Branch Managers Course or Investment Dealers Supervisors Course
Compensation Information:- Base salary range: $95,000 - $105,000
- 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.
Sounds like you? Click below to apply!#LI-Hybrid
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