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Manager, Trade Desk Compliance - Remote

Posted Yesterday
Finance / Legal
Full Time
CA

Overview

Wealthsimple is looking for a motivated and experienced Manager, Trade Desk Compliance to oversee compliance with trading regulations and ensure the integrity of trading activities.

In Short

  • Oversee compliance with CIRO regulations for the Investment Dealer.
  • Act as a subject matter expert on trading rules and regulations.
  • Collaborate with various teams to implement compliant business initiatives.
  • Review and approve trading strategies for regulatory compliance.
  • Enhance monitoring of trading activities to detect market abuse.
  • Conduct compliance reviews and develop remediation plans.
  • Ensure timely regulatory reporting of trade data.
  • Manage regulatory inquiries related to trading activities.
  • Design compliance policies and procedures for trade desks.
  • Monitor risk controls and client suitability requirements.

Requirements

  • 5+ years of experience in trading or compliance at a brokerage firm.
  • In-depth knowledge of Canadian securities regulations and trading rules.
  • Strong understanding of trade life cycle and execution venues.
  • Experience with trade surveillance systems and reporting mechanisms.
  • Completion of relevant courses and ability to register with CIRO.

Benefits

  • Opportunity to work with a leading fintech company.
  • Collaborative and inclusive work environment.
  • Impactful role in shaping compliance strategies.
  • Access to innovative financial technology.
  • Commitment to professional growth and development.
Wealthsimple logo

Wealthsimple

Wealthsimple is a leading fintech company based in Canada, dedicated to helping individuals achieve financial freedom through innovative and accessible financial services. With a mission to simplify money management, Wealthsimple leverages smart technology to transform traditionally complex and costly financial services into transparent and affordable solutions. Serving over 4 million users and managing more than $50 billion in assets, the company fosters a collaborative and inclusive work environment, encouraging talented individuals to contribute to its groundbreaking ideas and high-performing teams. Wealthsimple is committed to diversity, equity, and inclusion, ensuring that its products cater to a diverse world.

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