Supervisor, Business Integrity
Top Benefits
About the role
Questrade Financial Group (QFG), through its companies - Questrade, Questbank, Questrade Wealth Management, Community Trust Company, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. We use cutting-edge technology to help Canadians become much more financially successful and secure. 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 shaping a future where AI empowers our teams to do their best work. Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits. If you share this sense of infinite possibility, come shape your future at QFG. 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 Supervisor, Business Integrity. Could It Be You? The Compliance Supervisor, Business Integrity is the central point of contact for the business for the compliance review and approval of marketing materials across QFG entities (Questrade Inc., QWM, Questbank, Flexiti, and Zolo) prior to publication, replacing the previous multi-approver model. The Supervisor holds, or promptly obtains, CIRO approval in the Supervisor category and acts as the designated Supervisor for advertisements, sales literature, and correspondence under section 3603 of the CIRO IDPC Rules. The role takes complete ownership of the approval process, works independently with minimal supervision, and engages specialized teams (including Legal, Tax, Privacy and other teams) only when required.
The initial allocation is approximately 90% marketing review and approval and 10% consumer protection support, with a focus on regulatory complaints. Over time, the marketing allocation is expected to decrease to approximately 50%, with the balance dedicated to the supervision and support of Compliance Officers and Compliance Analysts.
Need more details? Keep reading…
In this role, responsibilities include but are not limited to: Acting as the single point of contact for the compliance review and approval of marketing materials across all QFG entities, channels, and media prior to publication. Reviewing materials against all applicable requirements, including the CIRO IDPC Rule 3600 series and OEO guidance, NI 81-102 Part 15 and CSA Staff Notice 31-325 for QWM, FCAC Cost of Borrowing and Deposit Type Instruments Regulations for Questbank, Flexiti, and CTC products, CASL, the Competition Act, Ad Standards, and Quebec requirements (Consumer Protection Act, Charter of the French Language). Verifying claims substantiation, fair fee comparisons, performance data presentation, balanced disclosure of benefits and risks, and required disclaimers and membership disclosures. Owning and continuously improving the intake and approval workflow, and keeping marketing review policies, procedures, and checklists current. Performing regular sampling of live marketing against approvals and other audits. Delivering training and guidance to business units on marketing compliance requirements. Assisting the EBI team with escalated client complaints and regulatory complaint files, including investigations and draft responses to clients, regulators, and external reviewing bodies (CIRO, OSC, FCAC, OBSI), within regulatory timelines. Providing guidance, file review, and quality oversight to Compliance Officers and Compliance Analysts. Taking full ownership of files from intake through closure, and flag any risk to launch dates or regulatory timelines early. Adopting new technologies, including AI tools, and engaging openly with coaching and feedback.
So are YOU our next Supervisor, Business Integrity? You are if you…
Have several years of compliance experience at a CIRO-regulated dealer or comparable regulated financial institution, including hands-on review and approval of marketing materials. Have a minimum of two years of relevant experience consistent with CIRO's requirements for Supervisor approval. Have knowledge of the CIRO IDPC Rules (3600 and 3900 series), OEO guidance, NI 81-102 Part 15, and CSA Staff Notice 31-325, with working knowledge of FCAC requirements, CASL, the Competition Act, Ad Standards, and Quebec marketing requirements. Have an ability to take complete ownership of a regulatory approval process and operate independently with minimal supervision, with sound judgment on when to engage specialists. Have strong written and oral communication skills, including precise, constructive feedback to Marketing. Have strong organization and recordkeeping across a high volume of concurrent reviews with fixed deadlines. Have an ability to supervise, coach, and develop Compliance Officers and Compliance Analysts. Have a willingness to adopt new technologies, including AI tools, and receptiveness to coaching and feedback.
Additional kudos if you…
Have experience at an order execution only (OEO) or online brokerage, or with FCAC-regulated credit or deposit product advertising. Bilingualism in French and English.
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 #LI-DB1 At Questrade Financial Group of Companies, with multiple office locations around the world, we are committed to fostering a diverse, inclusive and accessible work environment. This is an environment where individuals are treated with dignity and respect. Here, the unique skills and experience you bring will be valued. You will be supported and motivated, so that you can harness your unlimited potential. Our team reflects the diversity of the communities we serve and operate in. Having a collaborative and diverse team helps us push boundaries to bring the future of fintech into existence—not only for the benefit of our customers, but for those who build their career with us. Questrade Financial Group of companies Applicant Tracking System utilizes artificial intelligence (AI) 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.
Not the right fit? Search for Supervisor, Business Integrity jobs in Toronto, Ontario, Canada
About Questrade Financial Group
Questrade is an award-winning low-cost digital alternative to traditional banks that is changing the Canadian financial services industry. We empower Canadians by giving them better, more affordable ways to take control of their financial future by using cutting-edge technology to develop innovative products. Questrade offers Canadians an easy way to invest in securities and foreign currency and provides online wealth management and mortgage through the Questrade Group of Companies, with more financial products in development.
At Questrade, we care deeply about helping Canadians become much more financially successful and secure. We believe in infinite possibilities, not only for our customers but for those who build careers with us. Our exceptional culture and forward-thinking workplace policies make Questrade a great place to work and build a career. We are a collaborative, diverse team that shares the same sense of infinite opportunity. Our beliefs, values, and atmosphere make you feel part of something bigger than yourself.
Throughout our multiple worldwide offices, we are reshaping the way we work, offering flexible options that allow our people to work remotely, from the office, or a hybrid mix of both.
Whether you want to kick-start your career or accelerate it, Questrade is the place for you. We offer rich learning experiences and exciting career path possibilities. Here you will be challenged. You will make your path, constantly moving forward, bringing the future of fintech into existence.
Come shape your future at Questrade.
Similar Jobs
Supervisor, Business Integrity
Top Benefits
About the role
Questrade Financial Group (QFG), through its companies - Questrade, Questbank, Questrade Wealth Management, Community Trust Company, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, real estate services, financial services and more. We use cutting-edge technology to help Canadians become much more financially successful and secure. 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 shaping a future where AI empowers our teams to do their best work. Join our diverse, inclusive, and hybrid workplace to unleash your creativity and nurture your curiosity without limits. If you share this sense of infinite possibility, come shape your future at QFG. 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 Supervisor, Business Integrity. Could It Be You? The Compliance Supervisor, Business Integrity is the central point of contact for the business for the compliance review and approval of marketing materials across QFG entities (Questrade Inc., QWM, Questbank, Flexiti, and Zolo) prior to publication, replacing the previous multi-approver model. The Supervisor holds, or promptly obtains, CIRO approval in the Supervisor category and acts as the designated Supervisor for advertisements, sales literature, and correspondence under section 3603 of the CIRO IDPC Rules. The role takes complete ownership of the approval process, works independently with minimal supervision, and engages specialized teams (including Legal, Tax, Privacy and other teams) only when required.
The initial allocation is approximately 90% marketing review and approval and 10% consumer protection support, with a focus on regulatory complaints. Over time, the marketing allocation is expected to decrease to approximately 50%, with the balance dedicated to the supervision and support of Compliance Officers and Compliance Analysts.
Need more details? Keep reading…
In this role, responsibilities include but are not limited to: Acting as the single point of contact for the compliance review and approval of marketing materials across all QFG entities, channels, and media prior to publication. Reviewing materials against all applicable requirements, including the CIRO IDPC Rule 3600 series and OEO guidance, NI 81-102 Part 15 and CSA Staff Notice 31-325 for QWM, FCAC Cost of Borrowing and Deposit Type Instruments Regulations for Questbank, Flexiti, and CTC products, CASL, the Competition Act, Ad Standards, and Quebec requirements (Consumer Protection Act, Charter of the French Language). Verifying claims substantiation, fair fee comparisons, performance data presentation, balanced disclosure of benefits and risks, and required disclaimers and membership disclosures. Owning and continuously improving the intake and approval workflow, and keeping marketing review policies, procedures, and checklists current. Performing regular sampling of live marketing against approvals and other audits. Delivering training and guidance to business units on marketing compliance requirements. Assisting the EBI team with escalated client complaints and regulatory complaint files, including investigations and draft responses to clients, regulators, and external reviewing bodies (CIRO, OSC, FCAC, OBSI), within regulatory timelines. Providing guidance, file review, and quality oversight to Compliance Officers and Compliance Analysts. Taking full ownership of files from intake through closure, and flag any risk to launch dates or regulatory timelines early. Adopting new technologies, including AI tools, and engaging openly with coaching and feedback.
So are YOU our next Supervisor, Business Integrity? You are if you…
Have several years of compliance experience at a CIRO-regulated dealer or comparable regulated financial institution, including hands-on review and approval of marketing materials. Have a minimum of two years of relevant experience consistent with CIRO's requirements for Supervisor approval. Have knowledge of the CIRO IDPC Rules (3600 and 3900 series), OEO guidance, NI 81-102 Part 15, and CSA Staff Notice 31-325, with working knowledge of FCAC requirements, CASL, the Competition Act, Ad Standards, and Quebec marketing requirements. Have an ability to take complete ownership of a regulatory approval process and operate independently with minimal supervision, with sound judgment on when to engage specialists. Have strong written and oral communication skills, including precise, constructive feedback to Marketing. Have strong organization and recordkeeping across a high volume of concurrent reviews with fixed deadlines. Have an ability to supervise, coach, and develop Compliance Officers and Compliance Analysts. Have a willingness to adopt new technologies, including AI tools, and receptiveness to coaching and feedback.
Additional kudos if you…
Have experience at an order execution only (OEO) or online brokerage, or with FCAC-regulated credit or deposit product advertising. Bilingualism in French and English.
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 #LI-DB1 At Questrade Financial Group of Companies, with multiple office locations around the world, we are committed to fostering a diverse, inclusive and accessible work environment. This is an environment where individuals are treated with dignity and respect. Here, the unique skills and experience you bring will be valued. You will be supported and motivated, so that you can harness your unlimited potential. Our team reflects the diversity of the communities we serve and operate in. Having a collaborative and diverse team helps us push boundaries to bring the future of fintech into existence—not only for the benefit of our customers, but for those who build their career with us. Questrade Financial Group of companies Applicant Tracking System utilizes artificial intelligence (AI) 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.
Not the right fit? Search for Supervisor, Business Integrity jobs in Toronto, Ontario, Canada
About Questrade Financial Group
Questrade is an award-winning low-cost digital alternative to traditional banks that is changing the Canadian financial services industry. We empower Canadians by giving them better, more affordable ways to take control of their financial future by using cutting-edge technology to develop innovative products. Questrade offers Canadians an easy way to invest in securities and foreign currency and provides online wealth management and mortgage through the Questrade Group of Companies, with more financial products in development.
At Questrade, we care deeply about helping Canadians become much more financially successful and secure. We believe in infinite possibilities, not only for our customers but for those who build careers with us. Our exceptional culture and forward-thinking workplace policies make Questrade a great place to work and build a career. We are a collaborative, diverse team that shares the same sense of infinite opportunity. Our beliefs, values, and atmosphere make you feel part of something bigger than yourself.
Throughout our multiple worldwide offices, we are reshaping the way we work, offering flexible options that allow our people to work remotely, from the office, or a hybrid mix of both.
Whether you want to kick-start your career or accelerate it, Questrade is the place for you. We offer rich learning experiences and exciting career path possibilities. Here you will be challenged. You will make your path, constantly moving forward, bringing the future of fintech into existence.
Come shape your future at Questrade.