Compliance Analyst, Client Onboarding

What’s in it for you as an employee of QFG?

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

This job posting is for an existing vacancy.

We’re looking for our next Compliance Analyst, Client Onboarding. Could It Be You? The purpose of the Compliance Analyst, Client Onboarding is to support the Compliance Client Onboarding team with account opening. The individual will be responsible to ensure efficient processing of client requests, updates and account approvals. The Compliance Analyst will review and approve client accounts in accordance with IIROC/FINTRAC regulations and Questrade’s internal operations procedures, while continually being vigilant of the customer experience.

Need more details? Keep reading… In this role, responsibilities include but are not limited to:

Review and approve/reject accounts as per our pre-established guidelines and regulations

Review and approve/reject option trading for clients as per regulations

Review and approve/reject AT participants on the accounts

Perform client due diligence on new and existing accounts

Support the “Gatekeeper” duty at the account opening stage

Support our AML policies at all level of account administration

Be knowledgeable about recent regulatory updates and changes

Assist our sales and customer service team in dealing with different account opening issues

Review client cases, on hold accounts and resolve them or re-assign them properly

Escalate accounts to Enhanced Due Diligence for review, where necessary.

Liaise with other business units including CSS, Sales and Operations with respect to account opening issues.

Other duties as assigned

So are YOU our next Compliance Analyst, Client Onboarding? You are if you…

Have proven knowledge of securities industry

Possess excellent written and verbal communication skills

Demonstrate excellent computer skills, especially MS Excel

Maintain excellent organizational skills

Utilize problem solving and analytical skills

Bring customer service experience is an asset

Additional kudos if you…

Are eligible for registration with CIRO as a Supervisor, Non-Trading, or have successfully completed, or be able to successfully complete, the following CIRO exams:

Supervisor Exam

Derivatives Exam

Have a minimum of 2 years of relevant work experience at a CIRO-regulated dealer.

Bring hands-on experience in account onboarding and KYC Due Diligence.

Compensation Information:

Base salary range: $65,000 - $75,000

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!