Senior Manager, Compliance Program Management

November 17

Apply Now

Receive Emails with Similar Jobs

Wealthsimple

WebsiteLinkedInAll Job Openings

Finance • Fintech • Investing

Wealthsimple is a financial technology company based in Canada that offers a range of investment and financial services. They provide managed investing options with custom portfolios tailored to individual goals, and offer self-directed investing to take control of trading stocks, ETFs, and cryptocurrencies commission-free. Wealthsimple also provides high-interest cash accounts, various retirement savings accounts, and a comprehensive set of tools for personal finance management. With over 3 million users, they emphasize low fees, transparency, and personalized financial advice.

501 - 1000 employees

Founded 2014

💸 Finance

💳 Fintech

💰 Private Equity Round on 2021-05

📋 Description

• Oversee the maintenance and regular updates of the firm's Compliance Manuals, policies, and procedures to align with regulatory changes and business evolution • Lead the firm's conflicts of interest management framework, including identification, documentation, and mitigation strategies • Develop and implement comprehensive compliance training programs for staff across all business lines • Establish compliance program metrics, reporting structures, and quality assurance processes • Design and execute compliance risk assessments across the organization • Identify risks and opportunities in the evolving regulatory environment • Build productive relationships with CIRO and other regulatory bodies to influence policy decisions

🎯 Requirements

• 8+ years of experience in compliance or regulatory roles within CIRO regulated financial institutions • Demonstrated experience managing enterprise compliance programs and leading high-performing, innovative compliance teams • Strong knowledge of Canadian securities regulations and CIRO requirements applicable to investment dealer products and services • Experience developing compliance policies, procedures, and training materials • Demonstrated ability to manage complex compliance operations and improvement initiatives • Strong knowledge of brokerage operations and product structures • Completion of the Investment Dealer Supervisors Course (IDSC), Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and ability to be registered with CIRO as a Supervisor • Experience with Crypto is a nice to have.

🏖️ Benefits

• Competitive salary with top-tier health benefits and life insurance • Retirement savings matching plan using Wealthsimple for Business • 20 vacation days per year and unlimited sick and mental health days • Up to $1,500 per year towards wellness and professional development budgets respectively • 90 days away program: Employees can work internationally in eligible countries for up to 90 days per calendar year • A wide variety of peer and company-led Employee Resource Groups (ie. Rainbow, Women of Wealthsimple, Black @ WS) • Company-wide wellness days off scheduled throughout the year