Director Client Services, Broker Dealer

Questrade Financial Group (QFG), through its companies - Questrade, Inc., Questrade Wealth Management Inc., Community Trust Company, ThinkInsure, Zolo, and Flexiti, provides securities and foreign currency investment, professionally managed investment portfolios, mortgages, insurance, real estate services, financial services and more. Questrade uses cutting-edge technologies to develop innovative products that give customers better, more affordable ways to take control of their money.

We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about our mission and each other. Your team members will help you conquer challenges, push boundaries and discover what you are truly capable of.

This is a place where you can explore, discover and learn with continuous growth. As a diverse and inclusive place to work, with a hybrid working environment you can unleash your creativity and curiosity with no limits. If you share the same 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

We're looking for our next Director of Client Services, Broker Dealer. Could It Be You?

This role is instrumental in ensuring a consistently positive, seamless and efficient client experience, driving client satisfaction, and fostering loyalty. The Director of Client Services, Broker Dealer will lead a team of customer service professionals, develop and implement service strategies, and leverage technology and data to enhance service quality and efficiency while maintaining strict adherence to regulatory requirements.

Previous leadership experience will enable this team to continue to deliver a "best in class" client service experience.

Need more details? Keep reading...

In this role, responsibilities include but are not limited to:

Strategic Client Service Leadership:

• Develop and execute a comprehensive client service strategy aligned with the broker-dealer's business objectives and regulatory requirements.
• Establish and maintain service level agreements (SLAs) to ensure consistent and high-quality client service delivery.
• Identify and implement best practices and innovative solutions to enhance the client experience and drive operational efficiency.
• Stay abreast of industry trends, regulatory changes, and emerging technologies impacting client service within the broker-dealer industry.

Team Management and Development:

• Lead, mentor, and motivate a team of client service managers and representatives.
• Establish clear performance expectations, provide regular feedback, and conduct performance evaluations.
• Develop and implement training programs to enhance the skills and knowledge of client service staff, including regulatory compliance.
• Foster a positive and collaborative team environment that promotes client advocacy and regulatory adherence.

Client Experience Management:

• Analyze client feedback and data to identify areas for improvement and implement corrective actions.
• Develop and implement client satisfaction surveys and other feedback mechanisms.
• Proactively address client complaints and resolve complex issues in a timely and effective manner, adhering to regulatory guidelines.
• Champion a client-centric culture throughout the organization, emphasizing regulatory compliance and ethical conduct.

Operational Excellence and Regulatory Compliance:

• Oversee the day-to-day operations of the client service department, ensuring efficiency, accuracy, and adherence to all applicable regulations
• Develop and implement policies and procedures to standardize client service processes and ensure regulatory compliance.
• Monitor and analyze key performance indicators (KPIs) to track performance, identify areas for improvement, and ensure regulatory reporting accuracy.
• Utilize technology and automation to streamline client service operations while maintaining strict data security and compliance standards.
• Ensure all staff is trained on all applicable regulatory requirements.

Risk Management and Compliance:

• Ensure compliance with all applicable broker-dealer regulations and internal policies.
• Implement and maintain effective controls to mitigate client service-related risks and ensure regulatory compliance.
• Collaborate with compliance and risk management teams to address any regulatory or compliance issues.
• Maintain up to date knowledge of all regulatory changes.

Cross-Functional Collaboration:

• Partner with other departments, including trading, operations, and compliance, to ensure a seamless client experience and regulatory adherence.
• Provide client service insights and feedback to inform product and service development.
• Collaborate on initiatives to enhance client engagement and loyalty

So are YOU our next Director of Client Services, Broker Dealer? You are if you...

• Have 7+ yrs leadership experience with a proven track record of building teams and structure
• Have a proven track record of conducting quantitative analysis to drive insights and growth strategies
• Have demonstrated ability to rapidly adapt to and master new technologies, coupled with a proven track record of generating and implementing innovative solutions.
• Have 5+ yrs of client services support experience
• Have demonstrated strong leadership and team management skills, with demonstrated ability to motivate and develop a high-performing team
• Have a positive can-do attitude and energy with acute business acumen; bringing fresh ideas and initiatives to get things done
• Have In-depth knowledge of compliance and regulatory requirements
• Have experience working in a start-up environment; adapting processes and best practices as company strategy pivots and evolves
• Have deep knowledge and understanding in leading client experience function
• Hold a Bachelor's degree in business administration, finance, or a related field (Master's degree preferred)

Sounds like you? Click below to apply!

#LI-KS2 | #LI-Hybrid

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.