Lead and manage compliance operations and program for the firm, including developing policies, training, and risk assessment while collaborating with multiple departments.
Build something people love
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
📈 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)
🌎 We’re a remote first team with over 1,500 employees across North America - and one of the best things about working here is the people. You’ll be collaborating with incredibly talented, curious, and driven teammates who care deeply about doing great work.
Read our Culture Manual and learn more about how we work.
Technology & Innovation at Wealthsimple
We believe the future belongs to those who innovate boldly. At Wealthsimple, every team member is expected to lean into new technologies, including AI, and tooling to rethink how we work, solve problems faster, and create even greater value. We're looking for people who are not just comfortable with change but energized by it. Our commitment is to build a company that evolves at the pace of the world around us, and we want you to help lead that future.
DEI Statement
At Wealthsimple, we are building products for a diverse world and we need a diverse team to do that successfully. We strongly encourage applications from everyone regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status.
Accessibility Statement
Wealthsimple provides an accessible candidate experience. If you need any accommodations or adjustments throughout the interview process and beyond, please let us know, and we will work with you to provide the necessary support and make reasonable accommodations to facilitate your participation. We are continuously working to improve our accessibility practices and welcome any feedback or suggestions on how we can better accommodate candidates with accessibility needs.
Top Skills
AI
Financial Technology
Similar Jobs
Fintech • Financial Services
Design, develop, and implement software solutions while collaborating with cross-functional teams. Provide technical leadership and mentor junior engineers.
Top Skills:
AgileRubyTypescript
Fintech • Financial Services
The Applied AI Engineer will develop AI-powered solutions, architect backend systems, integrate AI services, and collaborate with cross-functional teams to enhance business capabilities.
Top Skills:
Ai ApisAWSAws BedrockClaudeGoHugging FaceLangchainOpenaiPythonRubySnowflake
Big Data • Cloud • Software • Database
Develop data replication solutions, handle customer escalations, write and test code, and lead cross-team projects within MongoDB's Replication Team.
Top Skills:
C++JavaScriptPython
What you need to know about the Toronto Tech Scene
Although home to some of the biggest names in tech, including Google, Microsoft and Amazon, Toronto has established itself as one of the largest startup ecosystems in the world. And with over 2,000 startups — more than 30 percent of the country's total startups — Toronto continues to attract new businesses. Be it helping entrepreneurs manage their finances, simplifying business operations by automating payroll or assisting pharmaceutical companies in launching new drugs, the city's tech scene is just getting started.
