Associate in Compliance and Financial Planning

Join Wealthsimple as an Associate in Financial Planning and Sales Conduct, where you'll oversee compliance in a dynamic financial landscape. This hybrid role demands keen oversight and proactive engagement with client relationship integrity.

As an Associate, you'll manage the supervision of Portfolio Managers, ensuring adherence to regulatory requirements and enhancing financial planning standards. Your insights into KYC and suitability will be crucial for protecting client interests. The role emphasizes continuous improvement and the effective use of technology to streamline processes.

Key Responsibilities:

• Supervise and review PM/APM activities for compliance

• Assess financial planning outputs for client objectives

• Manage sales conduct review programs for quality control

• Ensure KYC documentation is up-to-date and accurate

• Identify and manage conflicts of interest in relationships

Requirements:

• 3-5 years of experience in compliance roles

• Strong knowledge of Canadian securities laws

• Background in financial planning and regulatory frameworks

• Supervisory qualifications and certifications

• Exceptional analytical skills and attention to detail

Enhance your career while ensuring compliance and integrity at Wealthsimple in this pivotal associate role.
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