Compliance Associate

4 weeks ago

Toronto, Ontario, Canada Wealthsimple Full time
About The Role

As a Compliance Associate, you will be conducting the day-to-day supervision of trading activity, staff conduct and handling formal complaints. You will participate in mapping regulatory requirements and regulatory initiatives to deliver a best-in-class compliance program that is closely aligned with our business strategy and operational priorities. You will also partner with Legal, Finance, Engineering, Sales, Trading, Client Success and Operations to support various regulatory initiatives and projects. Our ideal hire has a demonstrated track record of compliance innovation and the ambition and drive to build a highly scalable compliance platform - we're constantly looking at how to do things better, and we'd expect the same of you.

In this role you will be responsible for:
  • Conducting client and employee supervision reviews for the order execution only platform, crypto platform and account opening processes
  • Handling formal complaints and related regulatory submissions
  • Participating in all regulatory audits and contributing to driving regulatory initiatives across various platforms
  • Assisting with developing appropriate and scalable policies and procedures, as well as providing day-to-day support and guidance to cross-functional teams
  • Educating and supporting personnel on compliance matters and promoting policy and procedure understanding, engagement, and application
  • Assisting in conducting effectiveness testing of supervision-related processes and controls to ensure proper risk mitigation for the business
  • Understanding how the firm's risk appetite and risk culture should be considered in day-to-day activities and decisions
We're looking for someone who brings:
  • Compliance experience - 3+ years of investment industry experience.
  • Experience and/or knowledge in Blockchain Technology and cryptocurrency
  • Business creativity and a problem solving mindset - you have the ability to link business imperatives and regulatory requirements
  • Excellent interpersonal skills and a willingness to work in collaboration with various team members; confidence to express views that may be contrary to prevailing wisdom
  • Strong analytical and problem-solving skills with superior attention to detail; ability to exercise strong judgment in gray areas
  • Honesty and integrity - doesn't cut corners; does what is right, not what is politically expedient
  • Technical proficiency with SQL or Python (experience with Preset is an asset)
Nice to haves:
  • Regulatory proficiency - satisfies CIRO requirements to be registered as Supervisor, Securities and Options (CSC, CPH, DFOL, OSC and IDSC completed)
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