Associate, Financial Planning and Sales Conduct
W
WealthsimpleFinancial Services
Remote (Canada)Full-TimeMiddle
SalaryCA$69.6K - CA$87K
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Job Details
- Experience
- 3–5 years
- Required Skills
- Data AnalysisCompliance
Requirements
- 3–5 years of experience in a compliance, supervision, or conduct oversight role within a CIRO-regulated investment dealer or portfolio management firm.
- Solid working knowledge of NI 31-103, CIRO IDPC Rules, and Canada's Client-Focused Reforms.
- Familiarity with financial planning concepts such as retirement income, tax-efficient investing, and estate planning.
- Completion of the CIRO Canadian Investment Regulatory Exam and Supervisor Examination OR completion of Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), and Investment Dealers Supervisors Course (IDSC).
- Eligibility for registration as a Supervisor.
- Strong analytical skills with the ability to identify inconsistencies in client files and financial plans.
- Experience navigating sensitive conduct findings and managing pushback from stakeholders.
- Comfortable using technology and AI tools to automate and scale supervision processes.
- CFP, PFP, or CIM designation is considered an asset.
Responsibilities
- Conduct ongoing supervision and periodic account reviews for PM, APM, and sales team activity.
- Assess whether recommendations and investment decisions meet KYC, KYP, and suitability obligations.
- Review financial plans for completeness, regulatory compliance, and alignment with client objectives.
- Execute sales conduct review programs, including file audits and interaction record reviews.
- Audit client onboarding and update processes for KYC completeness and current documentation.
- Identify, document, and escalate conflicts of interest in accordance with CFR requirements.
- Streamline conduct review workflows and leverage technology to scale supervision.
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