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Program Manager, Compliance



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See open jobs at Wealthsimple.
Legal, Operations
Posted on Friday, January 26, 2024
Your career is an investment that grows over time!
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 $30 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.
We’re looking for a Program Manager to support the platform compliance function. In this role, you’ll be responsible for finding compliance gaps and opportunities for improvement, and you’ll work with product and engineering teams to build and integrate robust controls on our platform. You believe that a strong foundation in compliance is key to innovation in financial services, and are excited about working with cross functional teams in service of better products and protection for clients. You will be reporting to Sr Manager, Platform in Wealthsimple’s Regulatory team, which ensures the company’s continued adherence to policies and regulations.

Support Wealthsimple’s platform compliance by:

  • Overseeing key compliance programs related to client identity, account opening, and transaction monitoring.
  • Embedding within functional teams to understand vision, roadmaps, and progress
  • Identifying gaps in controls and coordinating on remediation
  • Working with product, design, engineering, and regulatory teams to:
  • a. Understand regulatory requirements for new interfaces, products, and services
    b. Ensure compliance as we build and improve on products and features
    c. Prioritize and plan for improvements and remediation where opportunities exist

We're looking for someone who has:

  • Completed Investment Dealer Supervisor’s Course
  • 2+ years of experience at an investment dealer
  • Strong attention to detail and documentation skills
  • Advanced analytical, research, and investigative skills (e.g. researching laws/regulations)
  • Ability to understand and distill complex content into a clear and concise narrative and communicate it with audiences at all levels
  • Appropriately assess risk/reward relationships when making decisions
  • Ability to take ownership and lead projects with a proactive (or reactive, when appropriate) approach and able to independently drive initiatives to conclusions
  • Ability to perform well in a high pressure, time-sensitive environment
  • Effective leadership qualities and a motivated self-starter

Nice to have:

  • 5+ years of experience in AML, compliance, product, or operations
  • Experience working in cross functional teams, especially between compliance, product, and developers
  • Experience in implementing compliance software and tooling
  • Knowledge of FINTRAC rules for securities dealers and money services businesses
  • Fluency in French
Why Wealthsimple?
🤑 Competitive Salary with top-tier health benefits and life insurance
📈 Retirement savings matching plan using Wealthsimple Work
🌴 20 vacation days per year and unlimited sick and mental health days
📚 Up to $1500 per year towards wellness and professional development budgets respectively
🛫 90 days away program: Employees can work internationally in eligible countries for up to 90 days per calendar year
🌎 A wide variety of peer and company-led Employee Resource Groups (ie. Rainbow, Women of Wealthsimple, Black @ WS)
💖 Company-wide wellness days off scheduled throughout the year
We’re a remote-first team, with over 1000 employees coast to coast in North America. Be a part of our Canadian success story and help shape the financial future of millions — join us!
Read our Culture Manual and learn more about how we work.
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.

This job is no longer accepting applications

See open jobs at Wealthsimple.