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 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. We’re the company behind some of Canada’s leading digital financial products.

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 facetime, 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:

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

We’re looking for someone who has:

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

201-500 employees

Website

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.