Wealthsimple

Wealthsimple

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Job Description:

Wealthsimple is a financial services company on a mission to help everyone achieve financial freedom by providing products and advice that are accessible and affordable. Using smart technology, Wealthsimple takes financial services that are often confusing, opaque and expensive and makes them simple, transparent, and low-cost.

With over 1 million people using Wealthsimple products, we are the market leader in Canada, and we’re fast growing in the US and UK. Our team is working together to build one of the most innovative fintech companies in the world and we're looking for talented people who want to help us move fast, ship often and make a huge impact. Join us on our mission to make financial services simple and affordable for everyone!

Read our Culture Manual to learn more about us and how we work.

Reporting to the Chief Compliance Officer of Wealthsimple’s IIROC dealer, you will be responsible for leading internal audit and remediation efforts and supporting Wealthsimple’s ongoing work to drive regulatory and operational transformation through new products and technology innovation. 

In this role, you will have the opportunity to:

    • Organize and lead audits of business practices, procedures and controls;
    • Prepare Wealthsimple, and in particular Wealthsimple’s IIROC dealer, for regulatory audits and financial audits;
    • Advance the work that is necessary to prepare Wealthsimple for 3416 audits;
    • Build relationships within the organization as a trusted advisor and client advocate;
    • Provide plain language reports and context setting around findings and regulatory requirements from your reviews; and
    • Demonstrate leadership in helping teams build better processes, procedures and controls.
    • Identify and support opportunities to transform manual, inefficient or error-ridden processes;
    • Assist with the launch of new products and services; and
    • Communicate detailed requirements to product managers and engineering teams to implement innovative solutions to remediate audit findings.

We're looking for someone who has:

    • 10-15+ years of work experience in a senior role within financial services responsible for compliance; issues management, risk assessment, reporting, compliance training, and change management;
    • Experience working in a custodial environment with experience in Books and Records, Financial Reporting, Tax Reporting and Treasury;
    • Demonstrated ability to be innovative and solution-oriented;
    • Experience building reports and dashboards using SQL an asset;
    • Deep understanding of OSC, IIROC and UMIR rules;
    • Internal Audit experience, including Trade Desk Audits;
    • Experience working with regulators;
    • Excellent project management and organizational skills and capability to handle multiple projects at one time;
    • Manages ambiguity, adapts to and drives change;
    • Appropriately assesses risk / reward relationships when making decisions;
    • Ability to take ownership and lead projects with a proactive, not reactive, approach; and able to independently drive initiatives to conclusions;
    • Ability to perform well in a high pressure, time-sensitive environment;
    • Understanding competing priorities, finding opportunities for efficiency in regulatory implementation; and
    • Bachelor’s degree required; Advanced degree a plus.
At Wealthsimple, we embrace difference. We believe that getting to the best outcomes requires diverse perspectives and backgrounds. We create space where all voices can be heard so that we can all do our life's best work. We’re committed to openness, curiosity and creating an inclusive culture as we know that diverse teams build better products and generate better ideas. We strongly encourage applications from everyone regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status.

Wealthsimple provides an accessible candidate experience. If you need any accommodations or adjustments throughout the interview process and beyond, please let us know.

Wealthsimple

Toronto, ON, Canada


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