Manager, Entity Accounts Product Compliance

Manager, Entity Accounts Product Compliance BUILD SOMETHING PEOPLE LOVE Wealthsimple's mission is to help everyone achieve financial freedom – by making financial services simple, transparent, and low-cost. We're Canada's largest fintech, trusted by over 3 million clients with more than $100 billion in assets. We move fast, we own our work, and we care deeply about the people using our products. If that sounds like you, keep reading. We're proud of what we've built — and we're just getting started. Read our Culture Manual https://www.wealthsimple.com/en-ca/culture and learn more about how we work https://www.wealthsimple.com/en-ca/careers. ABOUT THE ROLE The Regulatory Platform team enables user and account experiences across all of Wealthsimple's products. We work at the intersection of regulation, product, and operations - partnering across the company to increase the speed and scalability of product delivery while strengthening client trust in our ecosystem. If you're energized by owning complex, high-stakes problems in a fast-moving, collaborative environment, you'll feel right at home here. We’re looking for a highly motivated and experienced Manager, Entity Accounts Product Compliance to join our team. In this pivotal role, you will be the compliance expert and strategic partner for the product teams, and ensure that our entity account offerings - such as Corporate, Partnership, and Trust accounts - are developed and maintained in full compliance with CIRO rules, securities legislation, and internal policies, while enabling innovative and seamless client experiences. RESPONSIBILITIES - Regulatory Expertise: 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). - Product Development & Strategy: 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. - Compliance Infrastructure: Drive the development and enhancement of foundational platform components to support the complexities of entity account types. - Documentation & Training: 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. - Risk Management: Identify, assess, and mitigate regulatory compliance risks associated with entity accounts and new product initiatives, ensuring alignment with the company’s risk appetite. - Liaison with External Parties: 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. WHY WEALTHSIMPLE? 🌸 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 ... (truncated, view full listing at source)