Associate, Compliance - Supervision and Sales Conduct
Wealthsimple · Remote (Canada)
About this role
BUILD SOMETHING PEOPLE LOVE Wealthsimple is Canada’s leading financial innovator. The company offers a full suite of simple, sophisticated financial products across managed investing, do-it-yourself trading, cryptocurrency, tax filing, spending and saving. Wealthsimple currently serves more than 4 million Canadians and holds over $155 billion in assets under administration. The company was founded in 2014 by a team of financial experts and technology entrepreneurs, and is headquartered in Toronto, Canada. We're proud of what we've built - and we're just getting started. Read our Culture Manual https://www.wealthsimple.com/en-ca/culture and learn more about how we work https://www.wealthsimple.com/en-ca/careers. ABOUT THE ROLE As an Associate, Financial Planning and Sales Conduct, you'll be a guardian of client-first advice across our wealth business. Reporting to the Director, Wealth Management Compliance & Supervising Portfolio Manager, you'll own the day-to-day supervision and conduct review of our Portfolio Managers (PMs), Associate Portfolio Managers (APMs), financial planners, and broader sales teams. You aren't just reviewing files; you are upholding the integrity of every client relationship by ensuring our Approved Persons meet their obligations of Canadian securities laws (CIRO and CSA). This role sits at the intersection of sales conduct, financial planning oversight, and regulatory compliance. You'll be a subject matter expert on suitability, Know Your Client (KYC) and Know Your Product (KYP) obligations, and financial planning standards - keeping our teams compliant, our clients protected, and our culture of doing what's right firmly intact. WHAT YOU'LL DO - Suitability & Conduct Review: Conduct ongoing supervision and periodic account reviews for PM, APM, and sales team activity. Assess whether recommendations and investment decisions meet KYC, KYP, and suitability obligations under Canadian securities laws. - Financial Planning Oversight: Review financ
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