Senior Manager, Compliance Program Management

Your career is an investment that grows over time!

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

Our teams ship often and make an impact with groundbreaking ideas. We're looking for talented people who keep it simple and value collaboration and humility as we continue to create inclusive and high-performing teams where people can be inspired to do their best work.
About the Regulatory (Reg) Team We're on the lookout for a super motivated and experienced Senior Manager, Compliance Program Management to join our growing Regulatory (Reg) team. You'll report directly to our Director, Securities & Enterprise Compliance Programs and be a key player in shaping our compliance future. This role is all about leading and overseeing the firm's enterprise-wide compliance operations and program management.

You'll be crucial in helping us innovate in the retail trading space, making sure our cutting-edge financial solutions are not only groundbreaking but also fully compliant with all relevant regulations.

Our Reg team brings together a unique blend of legal, compliance, and risk experts. We're proud of how we creatively tackle tough regulatory challenges, our resourcefulness in navigating legal changes, our ability to adapt to market shifts, and our unwavering commitment to high integrity and ethics. Joining us means becoming part of an agile and forward-thinking group dedicated to both protecting our operations and enabling smart growth.
About the Senior Manager, Compliance Program Management Role
The Senior Manager, Compliance Program Management will direct the development, implementation, and maintenance of key compliance frameworks including policies, procedures, manuals, and training programs. You'll manage specialized compliance teams handling marketing compliance, account supervision, and complaints handling and ensure consistent application of compliance standards across the organization through effective program governance. You will build strong collaborative relationships with Product, Trading, Operations, Engineering and Finance teams to ensure compliant implementation of business initiatives.

In this role you will have the opportunity to:

Oversee the maintenance and regular updates of the firm's Compliance Manuals, policies, and procedures to align with regulatory changes and business evolution

Lead the firm's conflicts of interest management framework, including identification, documentation, and mitigation strategies

Develop and implement comprehensive compliance training programs for staff across all business lines

Establish compliance program metrics, reporting structures, and quality assurance processes

Design and execute compliance risk assessments across the organization

Identify risks and opportunities in the evolving regulatory environment

Build productive relationships with CIRO and other regulatory bodies to influence policy decisions

What you bring:

8+ years of experience in compliance or regulatory roles within CIRO regulated financial institutions

Demonstrated experience managing enterprise compliance programs and leading high-performing, innovative compliance teams

Strong knowledge of Canadian securities regulations and CIRO requirements applicable to investment dealer products and services

Experience developing compliance policies, procedures, and training materials

Demonstrated ability to manage complex compliance operations and improvement initiatives

Strong knowledge of brokerage operations and product structures

Completion of the Investment Dealer Supervisors Course (IDSC), Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH) and ability to be registered with CIRO as a Supervisor

Experience with Crypto is a nice to have.

Why Wealthsimple?🤑 Competitive salary with top-tier health benefits and life insurance📈 Retirement savings…