Compliance Supervisor; Registration), Business Integrity

Questrade Financial Group (QFG) operates through its companies—Questrade, Questbank, Questrade Wealth Management, Community Trust Company, Zolo, and Flexiti—to provide securities and foreign currency investment, professionally managed portfolios, mortgages, real‑estate services, and other financial solutions. We use cutting‑edge technology to help Canadians achieve greater financial success and security.

At QFG, we combine human‑centric collaboration with AI‑driven innovation to redefine financial services. The ideal candidate will be a catalyst for change, using AI to transform and deliver unparalleled customer experiences and shape a future where AI empowers our teams.

Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits.

• Health & wellbeing resources and programs
• Paid vacation, personal, and sick days for work‑life balance
• Competitive compensation and benefits packages
• Hybrid work‑life balance with at least 3 days in office
• Career growth and development opportunities
• Opportunities to contribute to community causes
• Diverse, inclusive, and collaborative team environment

The Supervisor, Business Integrity works closely with other compliance teams and business units to conduct audits, testing, monitoring, escalation, and reporting in accordance with documented policies and procedures. The role serves as the key subject matter expert on corporate and individual registration matters and keeps management updated on regulatory changes across the enterprise.

• Collaborate with stakeholders to develop and enhance products ensuring compliance with applicable laws and regulations; coordinate supporting policies and procedures.
• Assist and coordinate all regulatory reporting in a timely manner.
• Prepare quarterly reports for the Questrade Group of Companies.
• Work with business units to apply for registration with securities regulators and other lines of business as required.
• Maintain corporate registration profiles and complete filings to regulators.
• Coordinate, prepare, and manage audits, examinations, and reviews with regulators and third parties.
• Coach and lead compliance officers and analysts.
• Serve as a key resource for business units on regulatory conduct compliance requirements.
• Initiate communication to ensure a clear understanding of compliance standards for employees and business units.
• Lead internal audits and reviews.
• Conduct employee supervision, including assessment of violations.
• Recommend improvements to internal controls and business processes.
• Monitor employee disclosures, including assessment of outside activities, gifts & entertainment, and conflicts of interest.
• Represent Compliance in internal/external committees and working groups.
• Maintain and recommend changes to internal policies and procedures.
• Foster a culture aligned to QFG purpose, values, and strategy and serve as a role model for QFG values and behaviors.

• In‑depth knowledge of the Canadian securities industry, including Self‑Regulatory Organization (SRO) and Canadian Securities Administrators (CSA) regulations.
• 5+ years industry experience.
• 3+ years related experience in a compliance or audit role.
• Experience administering formal audits within Compliance Programs.
• Excellent verbal and written communication skills.
• Ability to manage ambiguity.
• Strong analytical and problem‑solving skills.

• Hold the Canadian Securities Course.
• Completed the Conduct & Practices Handbook Course.
• Completed the Branch Managers Course or Investment Dealers Supervisors Course.

• Base salary range: $95,000 – $105,000.
• The final compensation package will be commensurate with experience, skills, and geographic location (Canada) and will include a comprehensive benefits plan and a competitive incentive (bonus) program for full‑time permanent roles.

At Questrade Financial Group of Companies, we are committed to fostering a diverse, inclusive, and accessible work environment. We treat all individuals with dignity and respect, valuing the unique skills and experience each person brings. We support and motivate our team to harness unlimited potential, reflecting the diversity of the communities we serve.

Questrade Financial Group’s Applicant Tracking System utilizes artificial intelligence for application screening. The AI system operates on predetermined criteria with final decisions subject to human review. Candidates selected for an interview will be contacted directly. If you require accommodation during the recruitment/selection process, please let us know and we will work with you to meet your needs.