Compliance Analyst, Enterprise AML & Payments

The return on your investment

Your time is finite, and where you invest it matters. We provide you with a return that compounds your investment.

• Top-of-range compensation and benefits packages.
• RRSP matching of up to 6%.
• Health and wellbeing resources and programs, including $5,000 in mental health practitioner coverage.
• $5,000 in tuition subsidies for job-related courses, every year.
• 100% parental top-up, up to 26 weeks for birthing parents and 18 weeks for non-birthing parents.
• A hybrid environment, with at least three days in office.
• Paid vacation, personal, and sick days.
• Mandates that expand as you prove yourself.
• Ways to give back to the causes you care about.

This job posting is for an existing vacancy.

We’re looking for our next Compliance Analyst, Enterprise AML & Payments.

The purpose of the Compliance Analyst is to assist Questrade in complying with anti-money laundering (AML) and anti-terrorist financing (ATF) legislation and complying with Questrade’s internal AML and ATF policies and procedures.  This will be achieved through the day-to-day activities performed under the supervision of the AML Compliance Supervisor.

Questrade is seeking a candidate who is interested in pursuing a career in compliance.  We are seeking a motivated individual with strong organization skills, solid oral and written communication skills, attention to detail, exceptional follow-through and success in building relationships with business partners.

The Compliance Analyst shall be responsible for adhering to all aspects of Questrade’s AML and ATF policies and procedures and assist with managing the financial crime exposure to the firm, the securities dealer’s space, and any other sector Questrade Financial Group operates in.

The mandate

In this role, you’ll own:

• Performing day-to-day activities associated with Questrade’s AML and ATF program, as assigned by the Director, AML Compliance
• Performing daily monitoring of large international EFTs
• Gathering information for case work
• Performing initial reviews of unusual activity referred for compliance review
• Providing recommendations based on his/her research to the Director, AML Compliance
• Filing of suspicious transaction reports
• Providing ongoing support to the compliance department
• Performing other duties, as assigned
• Be proficient in with FINTRAC Guidelines for securities dealers
• Become proficient in Questrade compliance policies and procedures
• Become proficient in Questrade’s data management systems, including QOffice, BPS and FSS, and/or other related systems of our various products, i.e. LMS, Portfolio Plus, Worldcheck, NICE Actimize 
• Establish positive relationships with internal clients in other business units
• Work cooperatively with multiple departments during investigations
• Become a subject matter expert in Questrade’s AML and ATF policies, and assess and respond to internal client requests appropriately
• Take ownership of processing and completing of all tasks as assigned
• Leverage AI and available automation to complete daily tasks
• Drive process automation within the AML team, using AI to streamline core functions
• Identify opportunities to integrate AI-driven solutions that automate manual oversight and enhance risk detection

You’re ready for this mandate if you have:

• A minimum of 2 years’ experience in the Canadian financial industry
• Completed the Canadian Securities Course (CSC) and successfully completed or are enrolled in the Conduct and Practices Handbook (CPH) (an asset)
• Proficiency in technology related programs (SQL, Microsoft Excel, Google Sheets / G-Suite tools, PowerBI)
• Apost-secondary degree/diploma in a related field
• 6-12 months experience with a CIRO member firm or equivalent Financial Institution
• Knowledge of the investment industry, crypto-currency, banking (an asset)

Nice to have

• Professional Development Recommendations: 
• Certified Anti-Money Laundering Specialist (CAMS)
• Solid knowledge of FINTRAC Guidelines for securities dealers
• AML industry continuing education courses
• Participation in industry associations, conferences and workshops

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.