Wealthsimple

3 days ago

Associate, Financial Planning and Sales Conduct

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 hours agoStatus: Live

Job Summary

Own day-to-day supervision and conduct reviews across portfolio managers, associate portfolio managers, financial planners, and sales teams to ensure client-first advice meets Canadian securities obligations. Serve as a subject matter expert on suitability, KYC/KYP, financial planning standards, and conflicts of interest, executing the firm’s sales conduct review program. Streamline conduct review workflows and escalate issues and trends to drive remediation with business partners and Legal.

Location: Canada

Workplace: Remote

Employment Type: Full time

Job Function: Sales

Seniority: Mid level

Key Responsibilities

•Conduct ongoing supervision and periodic account reviews for PM, APM, and sales activity to assess KYC, KYP, and suitability compliance.
•Review financial plans for completeness, regulatory compliance, and alignment with client objectives, including retirement, tax, and estate considerations.
•Execute the sales conduct review program, performing scheduled and risk-triggered reviews of client files and interaction documentation, escalating and driving remediation.
•Audit KYC/KYP quality by verifying onboarding and update processes and confirming Approved Persons’ product knowledge; flag gaps before regulatory findings.
•Monitor and document conflicts of interest from PM/APM activity and compensation/referral arrangements; partner with Director and Legal to manage disclosures per requirements.

Travel: Medium travel

Pay and Benefits

Salary: CAD 69,600 - 87,000 annually

Perks:Health InsuranceLife InsurancePaid LeaveWellness StipendUnlimited Sick

Key Requirements

•3–5 years of experience in compliance, supervision, or conduct oversight within a CIRO-regulated investment dealer or portfolio management firm, with direct PM/APM supervision exposure.
•Solid working knowledge of NI 31-103, CIRO IDPC Rules, and Canada’s Client-Focused Reforms, especially KYC, KYP, suitability, and conflicts of interest obligations.
•Familiarity with financial planning concepts (retirement income, tax-efficient investing, estate planning, insurance) and how planning outputs connect to suitability obligations; CFP/PFP is an asset.
•Completion of CIRO Canadian Investment Regulatory Exam and Supervisor Examination, or previous CPH and IDSC completion with eligibility for registration as a Supervisor; interest in CIM®.
•Strong analytical skills to identify missing/inconsistent items in client files, trade blotters, and financial plans and escalate appropriately.

Experience:3-5 yearsCIRO-regulatedInvestment dealerPortfolio managementFinancial planning

Education:Certification / Diploma

Skills:Analytical thinkingStakeholder managementAttention to detailConflict identificationProcess improvement

Certifications:CFPPFPCIM®CIRO Canadian Investment Regulatory ExamSupervisor Examination

Tech Stack:AI

Company Brief

Wealthsimple

Wealthsimple is a Canadian fintech offering automated investing, savings, tax filing, crypto trading, and cash accounts with a focus on low-cost, user-friendly financial services for retail customers.

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Growth: Scaleup

Valuation: Unicorn (USD 1B+)

Headquarters: Toronto, Canada

Founded: 2014

Website LinkedIn

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Wealthsimple

3 days ago

Associate, Financial Planning and Sales Conduct

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 4 hours agoStatus: Live

Job Summary

Location: Canada

Workplace: Remote

Employment Type: Full time

Job Function: Sales

Seniority: Mid level

Key Responsibilities

•Conduct ongoing supervision and periodic account reviews for PM, APM, and sales activity to assess KYC, KYP, and suitability compliance.
•Review financial plans for completeness, regulatory compliance, and alignment with client objectives, including retirement, tax, and estate considerations.
•Execute the sales conduct review program, performing scheduled and risk-triggered reviews of client files and interaction documentation, escalating and driving remediation.
•Audit KYC/KYP quality by verifying onboarding and update processes and confirming Approved Persons’ product knowledge; flag gaps before regulatory findings.
•Monitor and document conflicts of interest from PM/APM activity and compensation/referral arrangements; partner with Director and Legal to manage disclosures per requirements.

Travel: Medium travel

Pay and Benefits

Salary: CAD 69,600 - 87,000 annually

Perks:Health InsuranceLife InsurancePaid LeaveWellness StipendUnlimited Sick

Key Requirements

•3–5 years of experience in compliance, supervision, or conduct oversight within a CIRO-regulated investment dealer or portfolio management firm, with direct PM/APM supervision exposure.
•Solid working knowledge of NI 31-103, CIRO IDPC Rules, and Canada’s Client-Focused Reforms, especially KYC, KYP, suitability, and conflicts of interest obligations.
•Familiarity with financial planning concepts (retirement income, tax-efficient investing, estate planning, insurance) and how planning outputs connect to suitability obligations; CFP/PFP is an asset.
•Completion of CIRO Canadian Investment Regulatory Exam and Supervisor Examination, or previous CPH and IDSC completion with eligibility for registration as a Supervisor; interest in CIM®.
•Strong analytical skills to identify missing/inconsistent items in client files, trade blotters, and financial plans and escalate appropriately.

Experience:3-5 yearsCIRO-regulatedInvestment dealerPortfolio managementFinancial planning

Education:Certification / Diploma

Skills:Analytical thinkingStakeholder managementAttention to detailConflict identificationProcess improvement

Certifications:CFPPFPCIM®CIRO Canadian Investment Regulatory ExamSupervisor Examination

Tech Stack:AI

Company Brief

Wealthsimple

Industry: Wealth Management

Company Size: Enterprise (1,001+ employees)

Growth: Scaleup

Valuation: Unicorn (USD 1B+)

Headquarters: Toronto, Canada

Founded: 2014

Website LinkedIn