Job Description & How to Apply Below
Wealthsimple is seeking an Associate, Financial Planning and Sales Conduct to supervise PMs and sales teams, ensuring adherence to Canadian securities laws and KYC/KYP requirements. The role safeguards client relationships by upholding regulatory standards and ethical conduct.
Reporting to the Director, Wealth Management Compliance, you will review financial plans for regulatory compliance, assess suitability, and drive process improvements across planning outputs and supervision activities.
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