Director of Compliance, Wealthsimple US - New York

Compensation

: $185,380.00 - $185,380.00 /year *

Employment Type

: Full-Time

Industry

: Executive Management



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Wealthsimple makes financial tools that are easy, accessible, and transparent. We are on a mission to democratize access to world-class financial tools for everyone, regardless of age, net worth, background, or education. With over $5 billion (CAD) in assets under management and 150,000+ clients, we're the market leader in Canada and are fast growing in the US and UK. Our team is working together to build one of the largest and most innovative fin-tech companies in the world. Join us and change the future of finance. Read our Culture Manual to learn more about us and how we work.

As Director of Compliance for Wealthsimple US, you will act as Chief Compliance Officer for Wealthsimple Investments US, Ltd., our SEC registered investment adviser. You will also play a key role in supporting the operations of our US regulated activities. As a key member of the leadership team at Wealthsimple US, the ideal candidate will be a close partner with the leaders of Legal, Finance, Engineering, Product and Investment Research. The ideal candidate will also play a significant role in working with Wealthsimple US? B2B partners.

In this role, you will:

  • Build and maintain strong compliance and risk management policies and procedures that can scale with Wealthsimple US? growth
  • Partner with Product, Engineering and Finance and our custodian broker to create frictionless client experiences across current and future products
  • Establish reliable top line compliance metrics that guide decisions, measure progress, and provide visibility into compliance issues
  • Coordinate with institutional partners to address and resolve common issues and establish and maintain effective supervision and oversight programs
  • Apply hands-on compliance experience, either at a SEC registered investment adviser or a FINRA regulated introducing broker
  • Manage regulatory relationships effectively to help secure approvals for new business initiatives in a timely and frictionless manner and mitigate audit risk
  • We're looking for someone who:

  • Is experienced at leading and driving others to action
  • Acts without being told what to do; takes full ownership over work and proactively seeks help and input when needed
  • Speaks plainly and truthfully. Communicates complex ideas in a simple & easy-to-understand way for any audience (e.g. engineering, 3rd party vendors, growth/operational teams, executive team)
  • Plans, organizes, schedules and budgets in a productive manner, allowing for a focus on key priorities
  • Has the ability to produce significant output with minimum wasted effort. Finds the path of least resistance to the problem definition, solution and execution
  • Has strong analytical and problem-solving skills with superior attention to detail
  • Has excellent interpersonal skills and willingness to work in collaboration with various team members
  • Does what is right, not what is politically expedient
  • Approaches all situations with a growth mindset, willing to explore, learn and establish themselves as an expert in critical areas of the role
  • Wealthsimple is committed to creating a diverse and inclusive culture, one which reflects the world in which we live. We encourage applications from candidates of colour, women, queer candidates, indigenous peoples, candidates with family caregiving responsibilities, immigrant candidates, transgender candidates and candidates with disabilities. At Wealthsimple, we are dedicated to creating a culture with a diversity of talented individuals who join, stay, and work in an environment that enables them to thrive.
    Associated topics: cash, cfa, corporate banking, cpa, credit, finance, financial, investment banking, tax, treasure * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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