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Senior Manager
Asset Management Compliance
Confirmed live in the last 24 hours
Locations
Toronto, ON, Canada
Experience Level
Entry
Junior
Mid
Senior
Expert
Desired Skills
Management
Requirements
  • Industry knowledge - comprehensive knowledge of the securities industry and operations as they pertain to custodial arrangements, asset managers and investment fund managers
  • 5+ years experience working in a custodial environment with experience in Books and Records, Financial Reporting, Tax Reporting and Treasury
  • Compliance experience - Relevant compliance experience with an investment fund management firm
  • 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
  • Honesty and integrity - Doesn't cut corners; does what is right, not what is politically expedient
Responsibilities
  • Playing an important role in establishing and operating Wealthsimple's asset management compliance program
  • Supporting the successful launch of Wealthsimple Venture Fund I and other investment fund offerings
  • Supervising core aspects of an asset management program, including funds flows, securities lending, collateral management and related functions
  • Collaborating and building relationships with other teams, including product, operations, finance, investment research and engineering
  • 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
  • Testing existing compliance processes
  • Conducting due diligence and oversight of fund administrators, custodians and other third parties engaged for Wealthsimple's asset management program
  • Proactively monitoring for regulatory changes and effectively communicating to impacted teams
  • Leading responses to regulatory inquiries and audits
  • Assisting with other assignments and projects as required
Wealthsimple

201-500 employees

Investment management platform
Company Overview
Wealthsimple is on a mission to transform money management for everyone. The company provides pre-built investment portfolios depending on a user's interests/needs.