Senior Legal Counsel, Capital Markets Risk Management

1 week ago

Toronto, Ontario, Canada Wealthsimple Full time
About the Role

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, cooperating with regulatory bodies, 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.
Requirements
  • A law degree and a minimum of 5-8 years' experience in disputes, gained at a major Canadian law firm, a 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 the 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.
Nice to Haves
  • Fluency in French.
  • Expertise in class actions.
  • Working knowledge of and interest in generative AI.

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