Manager, Entity Accounts – Product Compliance
Wealthsimple
full-time
Posted on:
Location Type: Remote
Location: Canada
Visit company websiteExplore more
Salary
💰 CA$116,000 - CA$145,000 per year
About the role
- Act as the primary subject matter expert for all CIRO and securities regulatory requirements related to the lifecycle of entity accounts (e.g., account opening, KYC for entities, trading permissions, registered accounts, documentation, and ongoing monitoring).
- Partner closely with Product Managers, Engineers, Designers, and Operations leaders throughout the product development lifecycle (discovery, design, launch, and iteration) to integrate regulatory requirements into the product platform.
- Drive the development and enhancement of foundational platform components to support the complexities of entity account types.
- Create and maintain internal regulatory documentation, policies, and procedures specific to entity accounts. Lead training sessions for internal stakeholders on new features and regulatory changes.
- Identify, assess, and mitigate regulatory compliance risks associated with entity accounts and new product initiatives, ensuring alignment with the company’s risk appetite.
- Support regulatory examinations and internal audits related to entity account practices, preparing necessary documentation and explanations.
Requirements
- Minimum of 5 years of experience in a compliance, legal, or regulatory role within the Canadian financial services industry, with a focus on securities (CIRO/IIROC/MFDA) or capital markets.
- Deep knowledge of CIRO rules and Canadian securities regulation as it applies to dealer services and different types of non-individual client/entity accounts (e.g., Corporate, Trust, Partnership).
- Experience working directly with product and engineering teams in an agile environment.
- Strong communication and presentation skills, with the ability to translate complex regulatory requirements into clear and actionable guidance for non-compliance audiences.
- Additional compliance qualifications (e.g., CSC, CCO/CAMLO training, CPH) are a strong asset.
Benefits
- Top-tier health benefits and life insurance
- Long-term group savings with employer match, through Wealthsimple for Business
- 20 vacation days, 4 wellness days, and unlimited sick and mental health days per year
- 90 days away: work outside Canada for up to 90 days per year
- Employee resource groups, including Rainbow (2SLGBTQ), Women of WS, and Black at WS
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
regulatory complianceKYCrisk assessmentregulatory documentationagile methodologyproduct developmententity account managementinternal auditstraining facilitationdocumentation preparation
Soft Skills
communication skillspresentation skillscollaborationproblem-solvingstakeholder engagementtrainingguidance provisionadaptabilityattention to detailleadership
Certifications
CSCCCOCAMLO trainingCPH