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Manager, Supervision Compliance Jobs
Company | Wealthsimple |
Address | Ottawa, Ontario, Canada |
Employment type | FULL_TIME |
Salary | |
Category | Transportation, Logistics, Supply Chain and Storage |
Expires | 2023-10-01 |
Posted at | 8 months ago |
Your career is an investment that grows over time!
- Supporting with other assignments and projects as required
- Managing and advising on the processes and vendors used to conduct and maintain evidence of supervision
- Providing advice and support to the relevant stakeholders, including the firm’s Investment Representatives, on policies and procedures, controls, policy exceptions and regulatory rules
- Building and iterating on written policies and procedures designed to comply with Wealthsimple’s supervision obligations under applicable CIRO rules and securities laws
- Preparing and providing regular training to Investment Representatives and other employees on Wealthsimple’s business model, applicable securities legislation and rules, and our regulatory obligations
- Conducting supervision of account activity and the opening and approving of new accounts for securities and options
- Industry knowledge - comprehensive knowledge of regulatory requirements for conducting supervision of securities and options trading accounts in an order execution only CIRO dealer
- 5+ years of experience working in a brokerage environment with expertise in supervision
- Excellent interpersonal skills and willingness to work in collaboration with various team members; confidence to express views that may be contrary to prevailing wisdom
- Completed the necessary licensing courses and has the requisite experience to be registered as, or has previously been registered as, a Supervisor designated to be responsible for the opening of new accounts and supervision of account activity and options accounts (Investment Dealer Supervisors Course, Options Supervisors Course, and both the Derivatives Fundamentals Course and the Options Licensing Course or the Derivatives Fundamentals and Options Licensing Course)
- Eye for innovation - deep subject matter expertise and process-driven, but who also looks for opportunities to challenge our approach, find new creative solutions, and improve the way we work
- Honesty and integrity - doesn't cut corners; does what is right, not what is politically expedient
- Strong analytical and problem-solving skills with superior attention to detail; ability to exercise strong judgment in gray areas
- Business judgment - demonstrated ability to link business imperatives and regulatory requirements; business creativity and problem-solving mindset
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