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Senior Manager, Trade Conduct Compliance

Location: Toronto
Job Code: QT377
# of openings: 1


Our goal is simple: do the right thing.

Our Compliance department implements a compliance regime and supervisor systems to ensure compliance with all the rules, regulations, policies and legislation applicable to Questrade’s business. This department is responsible for reporting to management and the board of directors on Questrade’s level of compliance and for overall oversight of supervision functions to make sure we are always doing the right things. They’re passionate and committed, although it’s not always easy being the bad guy!

And where does the Senior Manager, Trade Conduct Compliance fit into this?

The purpose of the Senior Manager, Trade Conduct Compliance is to assist Chief Compliance Officer (CCO) in ensuring Questrade operates within the rules and regulations prescribed by the Investment Industry Regulatory Organization of Canada (IIROC) including the Universal Market Integrity Rules (UMIR) and other provincial and territorial securities regulators.

What’s it like working as a Senior Manager, Trade Conduct Compliance at Questrade?

As the Senior Manager, you will lead and manage a really awesome and talented bunch of compliance officers. You will develop, execute, maintain, and enhance the trade conduct compliance programs at Questrade in accordance with applicable rules. You will work closely with the CCO in managing Questrade’s compliance regime, documenting, implementing and maintaining compliance policies and procedures as well as reporting on progress and overall status of compliance regularly to Questrade’s Senior Management and Board of Directors. You will also lead and administer the Best Execution Committee.

Need more details? Keep reading...

You will advise and help business units including Trade Desk, Securities Lending and Risk & Credit and lead them in developing their own compliant policies. You will work with management and business units for the development and enhancement of products and services to ensure compliance with applicable rules. You will serve as a contact with regulators and marketplaces and manage all trade conduct regulatory reporting in a timely manner. You will work closely with regulators and other third parties to coordinate, prepare and manage audits. You will assess and respond to client complaints, production orders and regulatory document requests in a timely manner and track to resolution. You will supervise, manage, coach and support a team of compliance officers ensuring all work is delivered accurately, on a timely basis and in compliance with policies and procedures. You will be the subject matter expert when it comes to trade conduct for company and regulatory requirements. You will provide periodic reports to the CCO, the Compliance Committee and the Board of Directors. You will be responsible for initiating communication that ensures a clear understanding of required compliance standards. You will lead internal audits and reviews and recommend improvements to internal controls and business processes. You will conduct daily, monthly and quarterly trade activity supervision (UMIR testing as well as non-trading activities) and research, analyze and act on detected compliance issues and violations. You will research, monitor and develop action plans to address new rules and complete all client risk assessments.

So are YOU our next Senior Manager, Trade Conduct Compliance? You are if…

You have the required in-depth knowledge of the Canadian securities industry, including IIROC and UMIR regulations. You probably gained this knowledge through a post secondary degree/diploma and 5+ years of trade desk experience (or experience monitoring compliance of a trade desk). You’ve successfully completed the following CSI exams and keep them current:

  • Options Supervisor Course (OLC)
  • Derivatives Fundamental Course (DFC)
  • Canadian Securities Course (CSC)
  • Conduct and Practice Handbook Course (CPH)
  • Options Supervisors Course (OPSC)

You’re a proven leader with senior compliance experience and you’ve effectively managed, led, directed and supported a team of direct reports. Throughout your professional experiences, you have refined your communication, delegation, people management, and leadership capabilities. You are able to confidently address senior individuals in the firm with your excellent verbal and written communications skills. You are extremely organized and accountable with a hawk’s eye for detail. You thrive on following the rules, but still find time to crack a smile. Do you have your CCSE, know your US securities industry regulations, or have some experience in Money Services Business too? Even better!



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