wealthsimple
Associate, Compliance - Supervision and Sales Conduct
At a Glance
- Location
- Canada
- Employment
- FULL_TIME
- Experience
- 3–5 years
- Compensation
- {'@type': 'MonetaryAmount', 'currency': 'CAD', 'value': {'@type': 'QuantitativeValue', 'minValue': 69600, 'maxValue': 87000, 'unitText': 'YEAR'}}
- Department
- Wealthsimple Technologies
- Posted
- 2026-07-24
Key Requirements
Required Skills
Domain Knowledge
- Finance
- Insurance
- Legal
- Regulatory
Benefits & Perks
for Business 🌴 20 vacation days, 4 wellness days, and unlimit
Requirements
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.
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.
You can review a client file, a trade blotter, or a financial plan and quickly identify what's missing, what's inconsistent, and what needs to be escalated.
You're comfortable using technology and AI tools to automate repetitive tasks — whether that's flagging suitability exceptions, tracking KYC refresh cycles, or generating supervision reports.
Responsibilities
Associate, Financial Planning and Sales Conduct
, you'll be a guardian of client-first advice across our wealth business.
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.