Wealthsimple · 9 hours ago
Associate, Compliance
United States
Full-time
Remote
Mid Level
CA$70K/yr - CA$87K/yr
3+ years expWealthsimple is on a mission to help everyone achieve financial freedom by reimagining what it means to manage your money. As a Compliance Associate, you will conduct day-to-day supervision of trading activity and staff conduct while participating in mapping regulatory requirements to deliver a best-in-class compliance program.
FinanceFinancial ServicesFinTechImpact InvestingPersonal FinanceWealth Management
Responsibilities
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
Qualification
Required
Compliance experience - 3+ years of investment industry experience
Business creativity and a problem solving mindset - you have the ability to link 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)
Preferred
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
Benefits
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 program: Employees can work outside of Canada for up to 90 days per calendar year
A wide variety of peer and company-led Employee Resources Groups (e.g., Rainbow, Women of Wealthsimple, Black @ WS)
Company
Wealthsimple
Wealthsimple is a fintech company that offers digital financial services to help investors grow and manage their money.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$1.44BKey Investors
TCVAllianz XPower Financial Corporation
2025-10-27Series E· $393.04M
2025-10-27Secondary Market· $142.93M
2021-05-03Series B· $610.77M
Leadership Team
Michael Katchen
Co-founder & CEO
Radhika Kakkar
COO
Recent News
Canada NewsWire
2026-01-16
Calgary Herald
2026-01-08
Company data provided by crunchbase