Wealthsimple
Financial Services
Associate,TradeSurveillance
Neural analysis suggests this role is
optimal for Mid+ candidates.
“Associate, Trade Surveillance at Wealthsimple. Skills: Trade surveillance, Canadian securities regulations, SQL, Python. Conduct daily Tier 1 trade surveillance reviews. Action automated alerts”
Industry & Context.
Problem-solving mindset; Analytical skills
What They're Looking For.
Must Have
3+ years investment industry compliance experience, Knowledge of Canadian securities regulations, Knowledge of UMIR, Knowledge of CIRO Dealer Member rules, Analytical skills, Superior attention to detail, Sound judgment, Technical proficiency with SQL, Technical proficiency with Python, Excellent interpersonal ability, Excellent communication ability, Problem-solving mindset
Nice to Have
Trade surveillance experience, Experience with Preset analytics platforms, Experience with similar analytics platforms, Experience in Blockchain Technology, Knowledge in Blockchain Technology, Experience in cryptocurrency, Knowledge in cryptocurrency, Registered as Supervisor: Securities, Registered as Supervisor: Options, Passed Canadian Investment Regulatory Exam, Passed Retail Securities Exam, Passed Derivatives Exam, Passed Supervisor Exam, Completed Canadian Securities Course, Completed Conduct and Practices Handbook, Completed Derivatives Fundamentals and Options Licensing, Completed Options Supervisor Course, Completed Investment Dealer Supervisors Course
What You'll Do.
Conduct daily Tier 1 trade surveillance reviews
Action automated alerts
Conduct manual supervisory reviews
Analyze client trading activity
Identify patterns inconsistent with regulatory requirements
Identify patterns inconsistent with firm policies
Investigate potentially suspicious activity
Prepare escalation reports
Handle regulatory submissions
Support regulatory audits
Support regulatory examinations
Assist in developing surveillance policies
Assist in maintaining surveillance policies
Assist in developing surveillance procedures
Assist in maintaining surveillance procedures
Assist in alert tuning
Educate business teams on trade surveillance requirements
Promote compliance across the organization
Participate in effectiveness testing of surveillance controls
Contribute to team discussions
Contribute to investigations
Contribute to knowledge sharing
Consider firm’s risk appetite
Consider firm’s risk culture
How You'll Work.
Team & Collaboration
Partner with Legal; Partner with Finance; Partner with Engineering; Partner with Sales; Partner with Trading; Partner with Client Success; Partner with Operations; Collaborate across teams
Communication Scope
Interpersonal ability; Communication ability
Full Job Description
BUILD SOMETHING PEOPLE LOVE Wealthsimple is Canada’s leading financial innovator. The company offers a full suite of simple, sophisticated financial products across managed investing, do-it-yourself trading, cryptocurrency, tax filing, spending and saving. Wealthsimple currently serves more than 4 million Canadians and holds over $125 billion in assets under administration. The company was founded in 2014 by a team of financial experts and technology entrepreneurs, and is headquartered in Toronto, Canada. 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. As a Trade Surveillance Associate, you will conduct daily supervision of trading activity across Wealthsimple Investments Inc.'s order execution only platform and multiple asset classes. You will serve as the Tier 1 reviewer, actioning automated surveillance alerts, conducting manual reviews, and escalating matters requiring further investigation. You will also partner with Legal, Finance, Engineering, Sales, Trading, Client Success and Operations to support various regulatory initiatives and projects. Our ideal candidate brings compliance expertise, technical proficiency, and a demonstrated track record of compliance innovation. We're constantly looking at how to do things better, and we'd expect the same of you. In this role you will be responsible for: - Conduct daily Tier 1 trade surveillance reviews across equities, options, crypto, futures, predictions, and potentially other asset classes - Action automated alerts from the firm's surveillance platform and conduct manual supervisory reviews as assigned - Analyze client trading activity to identify patterns inconsistent with regulatory requirements or firm policies - Investigate potentially suspicious activity and prepare escalation reports - Handle regulatory submissions related to trade surveillance mat
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