Manager, Trade Desk Compliance

Wealthsimple

  • Toronto, ON
  • Permanent
  • Temps-plein
  • Il y a 1 mois
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 TeamWe're on the lookout for a super motivated and experienced Manager, Trade Desk 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 trade desk compliance programs. Beyond just oversight, you'll be crucial in helping us innovate in the retail trading 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.About the Role
  • The Manager, Trade Desk Compliance will be responsible for overseeing and ensuring compliance with Canadian Investment Regulatory Organization (CIRO) regulations and other applicable trading rules across all trading activities conducted by the Investment Dealer.
  • Act as the compliance subject matter expert on trading rules, products and requirements that impact the trade desk 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.
As Manager, Trade Desk Compliance You will:
  • Provide guidance on relevant trading rules and their application to Wealthsimple's trade desks for listed securities, options and futures contracts
  • Review and approve trading strategies, algorithms, and new trading protocols for regulatory compliance
  • Lead the build out and enhancement of monitoring of firm and client trading activities to detect potential market abuse, manipulation, or regulatory violations
  • Conduct trade desk compliance reviews of existing procedures and develop remediation plans for any identified issues
  • Ensure accurate and timely regulatory reporting of trade data to CIRO and other regulatory bodies
  • Respond to and manage regulatory inquiries related to trade desk activities
  • Design and implement trade desk compliance policies, procedures, and controls including but not limited to the management of automated order systems (AOS), supervision testing, trading counterparty risk management and supervision of Investment Representatives
  • Monitor risk controls like trading limits, restricted lists, and client suitability requirements
  • Design and maintain client materials and disclosures relating to our order handling processes
What You Bring:
  • 5+ years of experience in a trading or compliance role at a brokerage firm
  • In-depth knowledge of Canadian securities regulations, trading rules, and market conduct requirements, including but not limited to the Universal Market Integrity Rules, Rules of the Montréal Exchange and Rules of the various U.S. options and futures exchanges
  • Strong understanding of trade life cycle, execution venues, and order types
  • Experience with trade surveillance systems and regulatory reporting mechanisms
  • Completion of the Investment Dealer Supervisors Course (IDSC), Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Trader Training Course (TTC) and ability to be registered with CIRO as a Supervisor
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 yearWe'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 and learn more aboutTechnology & Innovation at WealthsimpleWe 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 StatementAt 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 StatementWealthsimple 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.

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