Download Job Title: Trading Compliance Officer Location: Downtown

Job Title: Trading Compliance Officer
Location:
Downtown Vancouver, BC
Company Overview:
Qtrade Financial Group is committed to offering comprehensive, market-leading wealth management
solutions to both the retail public as well as the customers of over 200 financial institutions including credit
unions, banks, trust companies and financial planning companies across Canada. Qtrade currently
administers over $9 billion of investment assets through our subsidiaries and is ranked as best Online
Broker from the Globe and Mail for 6 years in a row. Our goal is to be a leading provider of wealth
management solutions to enable our stakeholders to achieve their financial goals.
Job Overview:
Reporting to the VP Compliance, the Trade Compliance Officer’s role will be primarily responsible for
conducting Trading Surveillance oversight and ensuring that Universal Market Integrity Rules are complied
with. This will include monitoring daily trading activity, through automatic alerts and manually, maintaining
supervision spreadsheets, and producing internal and external regulatory reports as assigned. In addition,
the role will support Compliance/Credit supervision, QI Account Approval, and AML functions as assigned.
Duties and Responsibilities:
Trading Compliance
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Review trading data on a daily basis to monitor and detect various trading violations and deficiencies (i.e.
Manipulative and Deceptive Trading, Client Priority Concerns, Frontrunning, Order Handling, Best-Ex,
etc.)
Daily testing for trade markers, insider trading, OTCBB, restricted list, CTO, on-stop limits,
Maintain supervision spreadsheets of daily and monthly supervision details and findings,
prepare “gatekeeper” reporting, and assist with researching and gathering materials in
response to investigations;
Complete and prepare the Quarterly Trade Desk Review,
Identify risk trends through analytical reviews, identify and provide correct measures to possible gaps
and weaknesses.
Provide education to QI traders regarding trading compliance issues
Assist the VP Compliance in identifying opportunities, recommend opportunities, and assist with
implementation and testing of IT solutions for efficient and effective Trading Compliance processes and
procedures.
Daily and monthly review of Options trading
Actively participate in trading compliance continuing education opportunities and keep current
with relevant industry initiatives and regulatory changes.
Compliance/Credit
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Support credit function, with debit reviews, cheque and EFT approvals, and various credit reporting,
as assigned
Back-up for Qtrade Investor Account Approvals
Support the AML function, with AML STR Reviews, PEFP activity, Listed Person Reviews,
as assigned
Provide investigative support as required on various compliance projects or business initiatives
A trusted leader for wealth management solutions
Vancouver, BC, V7X 1M6
www.qtrade.ca
Required Skills and Qualifications:
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5+ years compliance experience or related securities experience
Trading experience and/or robust knowledge of UMIR and other trading rules (i.e. NI 23-101)
Excellent analytical, critical thinking and problem solving skills
Accuracy and detail-orientation in all responsibilities.
Strong initiative and good judgment in evaluating an objective and executing a plan to
achieve a process change.
Strong organizational and time management skills.
Strong written and communication skills
Knowledge and awareness of AML regulations is an asset
Proficient in Dataphile, and Market Q or Thompson One
Experience with PositionWatch Compliance, or similar trading compliance supervision systems
would be a significant asset
Ability to be registered as IIROC Supervisor
Willingness to become registered for Options Supervision within agreed upon time.
Hours of Work
Hours are Monday to Friday, 6:30 am to 2:30 pm
Location:
We are located in downtown Vancouver at the Bentall One Building (corner of Burrard and Pender), two
blocks away from the Burrard Skytrain station.
Qualified candidates are asked to submit their resume with cover letter in confidence to.
www.qtrade.ca/careers. Candidates must have legal work authorization in Canada.
For more company information, please refer to our website at www.qtrade.ca
We thank all applicants for applying; however only those applicants selected for an interview will be
contacted.
No recruiters, agencies, please.
A trusted leader for wealth management solutions
Vancouver, BC, V7X 1M6
www.qtrade.ca