Wealthsimple Technologies - Manager, Entity Accounts Product Compliance
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Requirements
• Minimum of 5 years of experience in a compliance, legal, or regulatory role within the Canadian financial services industry, with a focus on securities (CIRO/IIROC/MFDA) or capital markets. • Deep knowledge of CIRO rules and Canadian securities regulation as it applies to dealer services and different types of non-individual client/entity accounts (e.g., Corporate, Trust, Partnership). • Experience working directly with product and engineering teams in an agile environment. • Strong communication and presentation skills, with the ability to translate complex regulatory requirements into clear and actionable guidance for non-compliance audiences. • Additional compliance qualifications (e.g., CSC, CCO/CAMLO training, CPH) are a strong asset.
Responsibilities
• Regulatory Expertise: Act as the primary subject matter expert for all CIRO and securities regulatory requirements related to the lifecycle of entity accounts (e.g., account opening, KYC for entities, trading permissions, registered accounts, documentation, and ongoing monitoring). • Product Development & Strategy: Partner closely with Product Managers, Engineers, Designers, and Operations leaders throughout the product development lifecycle (discovery, design, launch, and iteration) to integrate regulatory requirements into the product platform. • Compliance Infrastructure: Drive the development and enhancement of foundational platform components to support the complexities of entity account types. • Documentation & Training: Create and maintain internal regulatory documentation, policies, and procedures specific to entity accounts. Lead training sessions for internal stakeholders on new features and regulatory changes. • Risk Management: Identify, assess, and mitigate regulatory compliance risks associated with entity accounts and new product initiatives, ensuring alignment with the company’s risk appetite. • Liaison with External Parties: Support regulatory examinations and internal audits related to entity account practices, preparing necessary documentation and explanations.
Benefits
• 🌸 Top-tier health benefits and life insurance • 📈 Long-term group savings with employer match, through Wealthsimple for Business • 🌴 20 vacation days, 4 wellness days, and unlimited sick and mental health days per year • ✈️ 90 days away: work outside Canada for up to 90 days per year • 👥 Employee resource groups, including Rainbow (2SLGBTQ), Women of WS, and Black at WS • 🌎 We are a hybrid team with over 1,500 employees across North America. The people are one of the best parts of working here: you'll collaborate with incredibly talented, curious, and driven teammates who are deeply committed to doing great work. • Technology & Innovation at Wealthsimple: We move quickly and build thoughtfully. That means we're always looking for better ways to work — whether that's new tools, AI, or rethinking how we approach a problem. We don't expect you to have all the answers, but we do expect curiosity and a willingness to evolve alongside the products we're building. • Inclusion Statement: We're building products for a diverse world, and we need a diverse team to do it well. We strongly encourage applications from everyone, regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. • Accessibility Statement: We're committed to an accessible hiring experience. If you need any accommodations throughout the interview process, please let us know — we'll work with you to make sure you have what you need. We also welcome any feedback on how we can better accommodate candidates with accessibility needs. • AI in Hiring: We may use artificial intelligence (AI) tools to support parts of our hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our team but don't replace human judgment – all final hiring decisions are made by people. If you have questions about how your data is used, reach out to us.
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