Associate, Compliance - Supervision and Sales Conduct

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 and learn more about how we work.

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.

• 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 financial plans prepared by advisors and planners for completeness, regulatory compliance, and alignment with client objectives. Ensure that planning outputs — retirement projections, tax strategies, estate considerations — are grounded in accurate client information and meet applicable proficiency and disclosure standards.

• Sales Conduct Program Management: Execute the firm's sales conduct review program, including scheduled and risk-triggered reviews of client files, interaction records, and account documentation. Identify trends, elevate issues, and drive remediation with the relevant business teams.

• KYC/KYP Quality Control: Audit client onboarding and update processes to verify that KYC information is complete, current, and documented in accordance with regulatory requirements. Confirm that Approved Persons have adequate KYP knowledge for every product they recommend, and flag gaps before they become regulatory findings.

• Conflicts of Interest Monitor: Identify and document conflicts of interest arising from PM/APM activity, referral arrangements, and compensation structures. Partner with the Director and Legal to ensure conflicts are properly disclosed, managed, or avoided in accordance with CFR requirements.

• Policy & Process Improvement: We hate  toil.  You'll look for opportunities to streamline conduct review workflows, improve documentation standards, and leverage technology to scale supervision across the business.

• Sales Conduct
  
  Experience:
  
  3–5 years of experience in a compliance, supervision, or conduct oversight role within a CIRO-regulated investment dealer or portfolio management firm, with direct exposure to PM/APM supervision.

• Regulatory Knowledge: Solid working knowledge of NI 31-103, CIRO IDPC Rules, and Canada's Client-Focused Reforms — particularly the KYC, KYP, suitability, and conflicts of interest obligations that apply to Approved Persons and their supervisors.

• Financial Planning Fluency: Familiarity with financial planning concepts (retirement income, tax-efficient investing, estate planning, insurance) and an understanding of how planning outputs connect to regulatory suitability obligations. CFP, PFP, or equivalent designation is a strong asset.

• Supervisory Credentials: Completion of the CIRO…