Financial Compliance Professional

2 weeks ago

Toronto, Ontario, Canada Wealthsimple Full time

Wealthsimple is on a mission to revolutionize the financial services industry by making it more accessible, transparent, and affordable for everyone.

About the Role

As a Compliance Associate, you will play a crucial role in ensuring our company's compliance with regulatory requirements. You will be responsible for conducting day-to-day supervision of trading activity, staff conduct, and handling formal complaints. Additionally, you will participate in mapping regulatory requirements and initiatives to deliver a best-in-class compliance program aligned with our business strategy and operational priorities.

You will partner with various teams, including Legal, Finance, Engineering, Sales, Trading, Client Success, and Operations, to support regulatory initiatives and projects. Our ideal candidate has a proven track record of compliance innovation and the drive to build a highly scalable compliance platform.

In this role, you will:

  • Conduct client and employee supervision reviews for order execution only platforms, crypto platforms, and account opening processes.
  • Handle formal complaints and related regulatory submissions.
  • Participate in all regulatory audits and contribute to driving regulatory initiatives across various platforms.
  • Assist in developing policies and procedures and provide day-to-day support and guidance to cross-functional teams.
  • Educate and support personnel on compliance matters and promote policy and procedure understanding.
  • Assist in conducting effectiveness testing of supervision-related processes and controls to ensure proper risk mitigation.

We are seeking an experienced professional who brings:

  • 3+ years of investment industry experience, preferably in compliance.
  • Experience and/or knowledge in Blockchain Technology and cryptocurrency.
  • Business creativity and problem-solving skills to link business imperatives and regulatory requirements.
  • Excellent interpersonal skills and willingness to work collaboratively with various team members.
  • Strong analytical and problem-solving skills with superior attention to detail.
  • Honesty and integrity – doing what is right, not what is politically expedient.
  • Technical proficiency with SQL or Python (experience with Preset is an asset).
Why Wealthsimple?

We offer a competitive salary of $80,000 - $100,000 per year, depending on experience. Additional benefits include:

  • Top-tier health benefits and life insurance.
  • Retirement savings matching plan using Wealthsimple.
  • 20 vacation days per year and unlimited sick and mental health days.
  • $1,500 per year towards wellness and professional development budgets.
  • 90 days away program: Employees can work internationally in eligible countries for up to 90 days per calendar year.

We are a remote-first team, with over 1,000 employees coast to coast in North America. We strongly encourage applications from everyone regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status.

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