Wealthsimple
501-1000 employees
Financial Services
Investment Management
Fintech
About Wealthsimple
Wealthsimple is a Canadian online investment management service focused on making investing accessible and simple for everyone. Founded in 2014, the company offers a range of financial products including automated investing, savings accounts, tax filing, and cryptocurrency trading. Wealthsimple's mission is to democratize financial services by leveraging technology to provide low-cost, user-friendly investment solutions tailored to individual goals. It serves a broad customer base across Canada, the US, and the UK, positioning itself as a leading fintech innovator in the wealth management space.
5 months ago
Senior Manager, Compliance Program Management
Full-time
Senior
Compliance Manager
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Description
- 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, opaque and expensive and make them transparent and low-cost for everyone. We’re the largest fintech company in Canada, with over 3+ million users who trust us with more than $100 billion in assets.
- Our teams ship often and make an impact with groundbreaking ideas. We're looking for talented people who keep it simple and value collaboration and humility as we continue to create inclusive and high-performing teams where people can be inspired to do their best work.
- About the Regulatory (Reg) Team
- We're on the lookout for a super motivated and experienced Senior Manager, Compliance Program Management to join our growing Regulatory (Reg) team. You'll report directly to our Director, Securities & Enterprise Compliance Programs and be a key player in shaping our compliance future. This role is all about leading and overseeing the firm's enterprise-wide compliance operations and program management. You'll be crucial in helping us innovate in the retail trading space, making sure our cutting-edge financial solutions are not only groundbreaking but also fully compliant with all relevant regulations.
- Our Reg team brings together a unique blend of legal, compliance, and risk experts. We're proud of how we creatively tackle tough regulatory challenges, our resourcefulness in navigating legal changes, our ability to adapt to market shifts, and our unwavering commitment to high integrity and ethics. Joining us means becoming part of an agile and forward-thinking group dedicated to both protecting our operations and enabling smart growth.
- The Senior Manager, Compliance Program Management will direct the development, implementation, and maintenance of key compliance frameworks including policies, procedures, manuals, and training programs. You'll manage specialized compliance teams handling marketing compliance, account supervision, and complaints handling and ensure consistent application of compliance standards across the organization through effective program governance. You will build strong collaborative relationships with Product, Trading, Operations, Engineering and Finance teams to ensure compliant implementation of business initiatives.
- In this role you will have the opportunity to:
- 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
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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.
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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)
- Allocated number of Wellness Days that can be scheduled over the course of the year!