Associate, Compliance

Build something people love

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 and expensive and make them transparent and low‑cost for everyone. We’re the largest fintech company in Canada, with 3+ million users who trust us with more than $100 billion in assets.

And we’re just getting started.

We’re looking for someone who thinks big, sweats the small stuff and keeps things simple. You’ll join a high‑bar, fast‑paced team where people are trusted to own their work, communicate openly, and ship things that improve our clients’ lives. Collaboration, humility, and an obsession over quality are how we get stuff done.

You will be conducting the day‑to‑day supervision of trading activity, staff conduct and handling formal complaints. You will participate in mapping regulatory requirements and regulatory initiatives to deliver a best‑in‑class compliance program that is closely aligned with our business strategy and operational priorities.

You will also partner with Legal, Finance, Engineering, Sales, Trading, Client Success and Operations to support various regulatory initiatives and projects. Our ideal hire has a demonstrated track record of compliance innovation and the ambition and drive to build a highly scalable compliance platform – we’re constantly looking at how to do things better, and we’d expect the same of you.

• Conducting client and employee supervision reviews for the order execution only platform, crypto platform and account opening processes.
• Handling formal complaints and related regulatory submissions.
• Participating in all regulatory audits and contributing to driving regulatory initiatives across various platforms.
• Assisting with developing appropriate and scalable policies and procedures, as well as providing day‑to‑day support and guidance to cross‑functional teams.
• Educating and supporting personnel on compliance matters and promoting policy and procedure understanding, engagement, and application.
• Assisting in conducting effectiveness testing of supervision‑related processes and controls to ensure proper risk mitigation for the business.
• Understanding how the firm’s risk appetite and risk culture should be considered in day‑to‑day activities and decisions.

• Compliance experience – 3+ years of investment industry experience.
• Business creativity and a problem‑solving mindset – you have the ability to business imperatives and regulatory requirements.
• Excellent interpersonal skills and a willingness to work in collaboration with various team members; confidence to express views that may be contrary to prevailing wisdom.
• Strong analytical and problem‑solving skills with superior attention to detail; ability to exercise strong judgment in gray areas.
• Honesty and integrity – doesn't cut corners; does what is right, not what is politically expedient.
• Technical proficiency with SQL or Python (experience with Preset is an asset).

• Regulatory proficiency – satisfies CIRO requirements to be registered as Supervisor, Securities and Options: CSC, CPH, DFOL, OSC and IDSC completed.
• Experience and/or knowledge in Blockchain Technology and cryptocurrency.

Base salary range:
For this role, candidates located in Canada can expect a base salary range of CAD $69,600 - $87,000. Actual compensation is determined based on skills, experience and role level. Exceptional candidates may be considered above the top of the range, and pay can increase quickly for those who make a big impact in the role.

Total compensation:
In addition to base salary, this role includes equity compensation. We use clear job levels and market‑based salary bands to ensure compensation is fair and consistent across the company.

Top‑tier health benefits and life insurance

Long‑term group savings with employer match using our Wealthsimple for Business platform

20 vacation days + 4 wellness days per year, and unlimited sick and mental health days

90 days away…