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Capital Markets Risk and Disputes Counsel
2 months ago
The Senior Legal Counsel, Capital Markets Risk Management will play a pivotal role in enhancing our robust capital markets risk management program. At Wealthsimple, we firmly believe that effective risk management is a key driver of business value and growth, and we are seeking a sophisticated lawyer who shares this mindset.
This role will report to the Chief Compliance Officer and will touch almost every aspect of our large and rapidly scaling securities brokerage. This includes conducting risk assessments, managing disputes and investigations, collaborating with law enforcement, and proactively managing risk in close collaboration with our product and client success teams.
Key Responsibilities- Evaluate business decisions and provide strategic advice to senior business leaders on potential legal risk issues, taking into account both legal and business perspectives.
- Lead the response to all disputes and third-party investigations, with the exception of employment disputes.
- Provide legal guidance to Wealthsimple's marketing team, including drafting promotional terms and conditions, and providing risk assessments on creative products and marketing copy.
- Handle complex business and legal issues in a fast-paced, agile, and evolving technology-driven business environment.
- Provide advice and support on emerging legal issues and risks, including securities intermediary risks, debtor/creditor risks, and consumer protection risks.
- Proactively identify and resolve emerging business risks that Wealthsimple may face across its product offering.
- Contribute actively to innovative ideas for quality and scalability within our rapidly growing brokerage.
- Implement AI and other innovative technologies to increase the quality and effectiveness of our risk management program.
- Conduct investigations.
- A law degree and a minimum of 5-8 years' experience in disputes, gained at a major Canadian law firm, highly regarded litigation boutique, or an in-house corporate legal department.
- Experience with independently running and resolving complex commercial disputes.
- Expertise in regulatory investigations and enforcement actions in the capital markets context.
- Familiarity with Canadian financial infrastructure and intermediaries, including regulated intermediaries, data providers, cloud infrastructure, and security providers.
- Rigorous analytical skills and ability to proactively identify and problem-solve.
- Ability to effectively apply risk-based frameworks to ambiguous problems.
- Skills to effectively communicate complex legal concepts to non-legal audiences.
- Project management and organizational skills that can be used to balance competing priorities.
- Fluency in French.
- Expertise in class actions.
- Working knowledge of and interest in generative AI.
Wealthsimple is a remote-first team with over 1,000 employees coast to coast in North America. We're a Canadian success story and a leader in the fintech industry. We're committed to building products for a diverse world and we need a diverse team to do that successfully.
We're a company that values collaboration, humility, and continuous learning. We're passionate about creating inclusive and high-performing teams where people can be inspired to do their best work.
We offer a competitive salary, top-tier health benefits, and a retirement savings matching plan. We also offer 20 vacation days per year, unlimited sick and mental health days, and up to $1,500 per year towards wellness and professional development budgets.
We're committed to accessibility and we provide an accessible candidate experience. If you need any accommodations or adjustments throughout the interview process and beyond, please let us know, and we will work with you to provide the necessary support and make reasonable accommodations to facilitate your participation.
