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Wealthsimple, Canada's leading financial innovator serving 4+ million Canadians with $125B+ in assets under administration, is seeking an Associate for Financial Planning and Sales Conduct. You'll report to the Director of Wealth Management Compliance & Supervising Portfolio Manager and serve as a guardian of client-first advice across the wealth business.
Your core responsibilities include conducting ongoing supervision and periodic account reviews of Portfolio Managers, Associate Portfolio Managers, financial planners, and sales teams to ensure compliance with Canadian securities laws (CIRO and CSA). You'll assess whether recommendations and investment decisions meet Know Your Client (KYC), Know Your Product (KYP), and suitability obligations.
You'll review financial plans for completeness, regulatory compliance, and alignment with client objectives—ensuring retirement projections, tax strategies, and estate considerations are grounded in accurate information. You'll execute the firm's sales conduct review program, including scheduled and risk-triggered reviews of client files and account documentation, identifying trends and driving remediation.
Additionally, you'll audit client onboarding and update processes to verify KYC information is complete and current, monitor conflicts of interest arising from PM/APM activity and compensation structures, and identify opportunities to streamline conduct review workflows using technology and AI tools.
You'll bring 3–5 years of compliance, supervision, or conduct oversight experience within a CIRO-regulated investment dealer or portfolio management firm. You need solid working knowledge of NI 31-103, CIRO IDPC Rules, and Canada's Client-Focused Reforms. Familiarity with financial planning concepts (retirement income, tax-efficient investing, estate planning, insurance) is essential. You must have completed the CIRO Canadian Investment Regulatory Exam and Supervisor Examination, or equivalent credentials (Canadian Securities Course, CPH, IDSC). CFP, PFP, or CIM® designations are strong assets.
You're analytically sharp, comfortable raising difficult findings and holding firm on regulatory standards while maintaining strong stakeholder relationships. You embrace technology and AI to automate repetitive tasks and build scalable processes.
