Wealthsimple Financial Conduct Associate

Drive client-centric success at Wealthsimple as an Associate in Financial Planning and Sales Conduct. This opportunity blends regulatory expertise and oversight to elevate client advisory integrity in a hybrid environment.

In your role, you will supervise the conduct of financial teams, ensuring they meet client-first standards while adhering to Canadian securities regulations. Your responsibilities include reviewing financial planning and supervision processes, as well as implementing improvements using technology. You'll ensure compliance while fostering a culture of ethical practice across the business.

Key Responsibilities:

• Supervise ongoing investment recommendations for compliance

• Review client financial plans for accuracy and standards

• Manage program of sales conduct reviews based on risks

• Audit onboarding to ensure complete KYC information

• Collaborate on identifying conflicts of interest

Requirements:

• 3-5 years in conduct oversight or compliance

• In-depth knowledge of NI 31-103 and CIRO rules

• Familiarity with financial planning concepts and regulations

• Completion of professional regulatory courses

• Strong analytical capabilities for compliance review

Safeguard client interests and uphold regulatory standards as you grow your career at Wealthsimple.
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