Manager, Derivatives Compliance - Remote

Overview

The Manager, Derivatives Compliance will be responsible for overseeing compliance with Canadian Investment Regulatory Organization (CIRO) and Options Clearing Corporation (OCC) regulations for Wealthsimple’s derivatives business, focusing on the launch and ongoing compliance of futures contract trading.

In Short

• Oversee compliance with CIRO and OCC regulations.
• Act as a subject matter expert on derivatives products.
• Collaborate with Product, Trading, Operations, Engineering, and Finance teams.
• Develop and implement compliance frameworks for futures trading.
• Monitor regulatory developments and assess impacts on business activities.
• Perform compliance reviews and testing of trading activities.
• Support regulatory examinations and inquiries.
• Deliver tailored compliance training for staff.
• Review new derivative products and trading strategies.
• Identify and escalate compliance risks.

Requirements

• 5+ years of compliance experience in a CIRO regulated environment.
• Comprehensive knowledge of Canadian derivatives regulations.
• Strong understanding of derivatives products and trading mechanisms.
• Experience launching new business lines under regulatory oversight.
• Excellent interpersonal and communication skills.
• Completion of relevant licensing courses and ability to register with CIRO.

Benefits

• Be part of a growing regulatory team.
• Work in a collaborative and innovative environment.
• Opportunity to shape compliance future in a leading fintech.
• Engage with a diverse range of teams across the organization.
• Contribute to the development of groundbreaking financial solutions.