Drive client-centric success at Wealthsimple as an Associate in Financial Planning and Sales Conduct. This prospect blends regulatory expertise and oversight to elevate client advisory integrity in a hybrid environment.
In your role, you will supervise the conduct of financial teams, ensuring they meet client-first standards while adhering to Canadian securities regulations. Your responsibilities include reviewing financial planning and supervision processes, as well as implementing improvements using technology. You'll ensure compliance while fostering a culture of ethical practice across the business.
Key Responsibilities:
• Supervise ongoing investment recommendations for compliance
• Review client financial plans for accuracy and standards
• Manage program of sales conduct reviews based on risks
• Audit onboarding to ensure complete KYC information
• Collaborate on identifying conflicts of interest
Requirements:
• 3-5 years in conduct oversight or compliance
• In-depth knowledge of NI 31-103 and CIRO rules
• Familiarity with financial planning concepts and regulations
• Completion of professional regulatory courses
• Strong analytical capabilities for compliance review
Safeguard client interests and uphold regulatory standards as you grow your career at Wealthsimple.
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