Drive client-centric success at Wealthsimple as an Associate in Financial Planning and Sales Conduct. This chance 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. #J-18808-Ljbffr