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Senior Manager, Brokerage Products Regulatory Strategy

Wealthsimple

Wealthsimple

Legal
Toronto, ON, Canada
Posted on Saturday, April 22, 2023
Wealthsimple is on a mission to help everyone achieve financial freedom, no matter who they are or how much they have. Using smart technology, Wealthsimple takes financial services that are often confusing, opaque and expensive and makes them simple, transparent, and low-cost.
Our team is reimagining what it means to manage your money. Smart, high-performing team members will challenge you to learn and grow every day. We value great work and great ideas — not ego. We're looking for talented people who love a fast-paced environment, and want to ship often and make an impact with groundbreaking ideas.
We’re a remote-first team and output is more important than face time, so where you choose to work is up to you — as long as you have internet access, you can work from anywhere in Canada. Be a part of our Canadian success story and help shape the financial future of millions — join us!
Read our Culture Manual and learn more about how we work.
At 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. Wealthsimple provides an accessible candidate experience. If you need any accommodations or adjustments throughout the interview process and beyond, please let us know.

In this role, you will be responsible for:

  • Supporting the successful launch of Wealthsimple’s new brokerage products, including margin accounts and complex options strategies
  • Collaborating and building relationships with other teams, including product, engineering, operations, finance, marketing and engineering to develop and scale new brokerage products
  • Analyzing regulatory approval requirements, and preparing regulatory applications and responses to regulatory inquiries for new product offerings
  • Playing an important role in establishing Wealthsimple’s compliance program for new product offerings, including margin accounts
  • Providing advice and support with respect to policies and procedures, controls, policy exceptions and regulatory rules to the applicable stakeholders
  • Development of appropriate and scalable policies and procedures
  • Proactively monitoring for regulatory changes and effectively communicating to impacted teams
  • Assisting with other assignments and projects as required

We’re looking for someone who has:

  • Industry knowledge - comprehensive knowledge of regulatory requirements for margin accounts and complex options strategies, and a deep understanding of the operations of these products
  • 5+ years of experience working in a brokerage environment with expertise in risk management
  • Experience working with product, engineering, finance and operations teams to build and scale new products
  • Business judgment - demonstrated ability to link business imperatives and regulatory requirements; business creativity and problem-solving mindset
  • Excellent interpersonal skills and willingness to work in collaboration with various team members; confidence to express views that may be contrary to prevailing wisdom
  • Strong analytical and problem-solving skills with superior attention to detail; ability to exercise strong judgment in gray areas
  • Eye for innovation - deep subject matter expertise and who is 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