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 4 million users who trust us with more than $70 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.
About the Reg Team
We're on the lookout for a super motivated and experienced Manager, Derivatives
Compliance to join our growing Regulatory (Reg) team. You'll report directly to
our Director, Securities & Enterprise Compliance Programs and be a key player in
shaping our compliance future.
This role is all about strategically developing, enhancing, and continuously
improving our derivatives compliance programs. Beyond just oversight, you'll be
crucial in helping us innovate in the derivatives space, making sure our
cutting-edge financial solutions are not only groundbreaking but also fully
compliant with all relevant regulations.
Our Reg team brings together a unique blend of legal, compliance, and risk
experts. We're proud of how we creatively tackle tough regulatory challenges,
our resourcefulness in navigating legal changes, our ability to adapt to market
shifts, and our unwavering commitment to high integrity and ethics. Joining us
means becoming part of an agile and forward-thinking group dedicated to both
protecting our operations and enabling smart growth.
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About the Manager, Derivatives Compliance Role:
- The Manager, Derivatives Compliance will be responsible for overseeing and
ensuring compliance with Canadian Investment Regulatory Organization (CIRO)
and Options Clearing Corporation (OCC) regulations for Wealthsimple’s
derivatives business, with a focus on the launch and ongoing compliance of
futures contract trading
- Act as the compliance subject matter expert on derivatives products and
related regulatory requirements for the Investment Dealer
- Build strong collaborative relationships with Product, Trading, Operations,
Engineering and Finance teams to ensure compliant implementation of business
initiatives
In this role you'll have the opportunity to:
- Lead the development and implementation of compliance frameworks for futures
contract trading, collaborating with operational teams
- Monitor regulatory developments related to derivatives markets and assess
impacts on Wealthsimple’s business activities
- Perform compliance reviews and testing of trading activities to ensure
adherence to CIRO requirements
- Support regulatory examinations and respond to regulatory inquiries related
to derivatives trading
- Develop and deliver tailored compliance training for staff involved in
futures trading operations
- Review new derivative products, trading strategies, and marketing materials
- Identify and escalate compliance risks related to derivatives trading
activities
What you'll bring:
- 5+ years of compliance experience within a CIRO regulated Investment Dealer
environment
- Comprehensive knowledge of Canadian derivatives regulations and futures
markets
- Strong understanding of derivatives products, trading mechanisms, and
operational workflows
- Experience launching new business lines or products under regulatory
oversight
- Excellent interpersonal and communication skills with ability to influence
stakeholders
- Completion of the Investment Dealer Supervisors Course (IDSC), Derivatives
Fundamentals and Options Licensing Course (DFOL), Futures Licensing Course
(FLC) and Canadian Commodity Supervisors Examination (CCSE) and ability to be
registered with CIRO as a Supervisor
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Why Wealthsimple?
?? Competitive salary with top-tier health benefits and life insurance
?? Retirement savings matching plan using Wealthsimple for Business
?? 20 vacation days per year and unlimited sick and mental health days
?? Up to $1,500 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 1,000 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 [https://www.wealthsimple.com/en-ca/culture/] and learn
more about how we work. [https://www.wealthsimple.com/en-ca/about/work-with-us]
Technology & Innovation at Wealthsimple
We believe the future belongs to those who innovate boldly. At Wealthsimple,
every team member is expected to lean into new technologies, including AI, and
tooling to rethink how we work, solve problems faster, and create even greater
value. We're looking for people who are not just comfortable with change but
energized by it. Our commitment is to build a company that evolves at the pace
of the world around us, and we want you to help lead that future.
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.
