Drive client-centric success at Wealthsimple as an Associate in Financial Planning and Sales Conduct. This opportunity 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 skilled regulatory courses
- Strong analytical capabilities for compliance review Safeguard client interests and uphold regulatory standards as you grow your career at Wealthsimple.