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Wealthsimple is on a mission to help everyone achieve financial freedom by reimagining what it means to manage your money. Using smart technology, we take financial services that are often confusing and expensive and make them transparent and low-cost for everyone. We’re the largest fintech company in Canada, with 3+ million users who trust us with more than $100 billion in assets. And we’re just getting started.
We’re looking for someonewho thinks big, sweats the small stuff and keeps things simple. You’ll join a high-bar, fast-paced team where people are trusted to own their work, communicate openly, and ship things that improve our clients’ lives. Collaboration, humility, and an obsession over quality are how we get stuff done.
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.
- 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
- Experience and/or knowledge in Blockchain Technology and cryptocurrency.
Compensation & Equity
🤑 Base salary range: For this role, candidates located in Canada can expect a base salary range of CAD $69,600 - $87,000. Actual compensation is determined based on skills, experience, and role level. Exceptional candidates may be considered above the top of the range, and pay can increase quickly for those who make a big impact in the role.
🚀 Total compensation: In addition to base salary, this role includes equity compensation. We use clear job levels and market-based salary bands to ensure compensation is fair and consistent across the company.
Why Wealthsimple?
🌸 Top-tier health benefits and life insurance
📈 Long-term group savings with employer match using our Wealthsimple for Business platform
🌴 20 vacation days + 4 wellness days per year, and unlimited sick and mental health days
✈️ 90 days away program: Employees can work outside of Canada for up to 90 days per calendar year
👥 A wide variety of peer and company-led Employee Resources Groups (e.g., Rainbow, Women of Wealthsimple, Black @ WS)
🌎 We’re a remote first team with over 1,500 employees across North America - and one of the best things about working here is the people. You’ll be collaborating with incredibly talented, curious, and driven teammates who care deeply about doing great work.
Be a part of our Canadian success story and help shape the financial future of millions.
Read our Culture Manual and learn more about how we work.
Technology & Innovation at Wealthsimple
We believe the future belongs to those who innovate boldly. At Wealthsimple, every team member is expected to lean into new technologies, including AI, and tooling to rethink how we work, solve problems faster, and create even greater value. We're looking for people who are not just comfortable with change but energized by it. Our commitment is to build a company that evolves at the pace of the world around us, and we want you to help lead that future.
DEI Statement
At Wealthsimple, we are building products for a diverse world and we need a diverse team to do that successfully. We strongly encourage applications from everyone regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status.
Accessibility Statement
Wealthsimple provides 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. We are continuously working to improve our accessibility practices and welcome any feedback or suggestions on how we can better accommodate candidates with accessibility needs.
