Associate, Trade Surveillance
About The Position
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.
Requirements
- 3+ years of investment industry compliance experience, preferably in trade surveillance
- Knowledge of Canadian securities regulations including UMIR and CIRO Dealer Member rules
- Strong analytical skills with superior attention to detail and sound judgment in ambiguous situations
- Technical proficiency with SQL or Python (experience with Preset or similar analytics platforms is an asset)
- Excellent interpersonal and communication skills; ability to collaborate effectively across teams
- Problem-solving mindset with the ability to link regulatory requirements to business realities
Nice To Haves
- Regulatory proficiency - Satisfies either new or old CIRO requirements to be registered as Supervisor: Securities and Options
- New proficiency requirements: passed the following exams: Canadian Investment Regulatory Exam, Retail Securities Exam, Derivatives Exam, Supervisor Exam
- Old proficiency requirements: completed the following courses: Canadian Securities Course, Conduct and Practices Handbook, Derivatives Fundamentals and Options Licensing, Options Supervisor Course, Investment Dealer Supervisors Course
- Experience and/or knowledge in Blockchain Technology and cryptocurrency.
Responsibilities
- 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 matters
- Support regulatory audits and examinations
- Assist in developing and maintaining surveillance policies, procedures, and alert tuning
- Educate business teams on trade surveillance requirements and promote compliance across the organization
- Participate in effectiveness testing of surveillance controls
- Contribute to team discussions, investigations, and knowledge sharing
- Understanding how the firm’s risk appetite and risk culture should be considered in day-to-day activities and decisions.
Benefits
- 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 per year
- Employee resource groups, including Rainbow (2SLGBTQ), Women of WS, and Black at WS
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
