Compliance Associate, Wealthsimple
Supervision and Sales Conduct
CA$69.6-87k
+ Offers Equity
Mid and Senior level
Remote from Canada
Professional investing services made simple
Be an early applicant
Professional investing services made simple
1001+ employees
FintechB2CPersonal financeInvestingFinancial ServicesSocial Impact
Be an early applicant
CA$69.6-87k
+ Offers Equity
Mid and Senior level
Remote from Canada
1001+ employees
FintechB2CPersonal financeInvestingFinancial ServicesSocial Impact
Company mission
To help everyone achieve financial freedom.
Role
Who you are
- Sales Conduct Experience: 3–5 years of experience in a compliance, supervision, or conduct oversight role within a CIRO-regulated investment dealer or portfolio management firm, with direct exposure to PM/APM supervision
- Regulatory Knowledge: Solid working knowledge of NI 31-103, CIRO IDPC Rules, and Canada's Client-Focused Reforms — particularly the KYC, KYP, suitability, and conflicts of interest obligations that apply to Approved Persons and their supervisors
- Financial Planning Fluency: Familiarity with financial planning concepts (retirement income, tax-efficient investing, estate planning, insurance) and an understanding of how planning outputs connect to regulatory suitability obligations. CFP, PFP, or equivalent designation is a strong asset
- Supervisory Credentials: Completion of the CIRO Canadian Investment Regulatory Exam and Supervisor Examination OR previous completion of the Canadian Securities Course, Conduct and Practices Handbook (CPH) and Investment Dealers Supervisors Course (IDSC) and eligibility for registration as a Supervisor. Completion of, or interest in completing, the Chartered Investment Manager Designation (CIM®)
- Sharp Analytical Eye: You can review a client file, a trade blotter, or a financial plan and quickly identify what's missing, what's inconsistent, and what needs to be escalated. You don't just check boxes — you understand why the boxes exist
- Grit and Grace: Conduct work can be sensitive. You're comfortable raising difficult findings, holding firm on regulatory standards, and navigating pushback from business stakeholders — all while maintaining strong working relationships
- Maker Mentality: You're comfortable using technology and AI tools to automate repetitive tasks — whether that's flagging suitability exceptions, tracking KYC refresh cycles, or generating supervision reports. You'd rather build a scalable process once than manually repeat the same task
What the job involves
- As an Associate, Financial Planning and Sales Conduct, you'll be a guardian of client-first advice across our wealth business
- Reporting to the Director, Wealth Management Compliance & Supervising Portfolio Manager, you'll own the day-to-day supervision and conduct review of our Portfolio Managers (PMs), Associate Portfolio Managers (APMs), financial planners, and broader sales teams
- You aren't just reviewing files; you are upholding the integrity of every client relationship by ensuring our Approved Persons meet their obligations of Canadian securities laws (CIRO and CSA)
- This role sits at the intersection of sales conduct, financial planning oversight, and regulatory compliance
- You'll be a subject matter expert on suitability, Know Your Client (KYC) and Know Your Product (KYP) obligations, and financial planning standards — keeping our teams compliant, our clients protected, and our culture of doing what's right firmly intact
- Suitability & Conduct Review: Conduct ongoing supervision and periodic account reviews for PM, APM, and sales team activity
- Assess whether recommendations and investment decisions meet KYC, KYP, and suitability obligations under Canadian securities laws
- Financial Planning Oversight: Review financial plans prepared by advisors and planners for completeness, regulatory compliance, and alignment with client objectives
- Ensure that planning outputs — retirement projections, tax strategies, estate considerations — are grounded in accurate client information and meet applicable proficiency and disclosure standards
- Sales Conduct Program Management: Execute the firm's sales conduct review program, including scheduled and risk-triggered reviews of client files, interaction records, and account documentation
- Identify trends, escalate issues, and drive remediation with the relevant business teams
- KYC/KYP Quality Control: Audit client onboarding and update processes to verify that KYC information is complete, current, and documented in accordance with regulatory requirements
- Confirm that Approved Persons have adequate KYP knowledge for every product they recommend, and flag gaps before they become regulatory findings
- Conflicts of Interest Monitor: Identify and document conflicts of interest arising from PM/APM activity, referral arrangements, and compensation structures
- Partner with the Director and Legal to ensure conflicts are properly disclosed, managed, or avoided in accordance with CFR requirements
- Policy & Process Improvement: We hate "toil". You'll look for opportunities to streamline conduct review workflows, improve documentation standards, and leverage technology to scale supervision across the business
Our take
Wealthsimple is one of a crop of robo-advisors trying to democratise investment management. These companies are disrupting the industry by automating many of the processes involved in investment, removing the need for human advisors.
But while other so-called robo-advisors are focused on courting the high end of the market, Wealthsimple is trying to provide the same types of tools and advice to all users, regardless of the amount they have to invest.
Wealthsimple does have higher fees than some other robo-advisors such as Betterment and Charles Schwab. However, the company believes that it provides a more user-friendly platform, tailored to millennials who will be attracted to Wealthsimple due to its ease of use and social impact offerings.
Kirsty
Company Specialist at Welcome to the Jungle
Insights
Top investors
-10% employee growth in 12 months
Company
Funding (last 2 of 9 rounds)
Oct 2025
$391.4m
LATE VC
May 2021
$533.8m
LATE VC
Total funding: $1.2bn
Company benefits
- Retirement savings matching plan through Wealthsimple Work
- Company equity for full-time employees
- Access to Premium Client perks, including personal finance learning & advice and a boosted interest rate on deposits
- Paid parental leave (6 months topped up to 100% of salary)
- 20 vacation days per year
- 90 Days Away program
- Top-tier health benefits
- Life & disability insurance
- Generous sick and mental health days
- Employee resource plan including services like RMT, psychology, and physiotherapy
- Up to $5,000 per year for mental health supports
- Gender Affirmation benefits
- Up to $1,500 per year for professional development
- Up to $1,500 per year for wellness and home office expenses
- Employee resource groups
- Social impact hours
Company HQ
Fashion District, Toronto, ON
Leadership
Michael Katchen
(Co-Founder & CEO)Previously worked as a Business Analyst at McKinsey and then at Ancestry.com as Country Director for Canada.
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