Associate, Financial Planning and Sales Conduct
Full-time
Wealthsimple
About the Role As an Associate, Financial Planning and Sales Conduct , you'll be a guardian of client-first advice across our wealth business. Reporting to the Director, Wealth Management Compliance & Supervising Portfolio Manager , you'll own the day-to-day supervision and conduct review of our Portfolio Managers (PMs), Associate Portfolio Managers (APMs), financial planners, and broader sales teams. You aren't just reviewing files; you are upholding the integrity of every client relationship by ensuring our Approved Persons meet their obligations of Canadian securities laws (CIRO and CSA). This role sits at the intersection of sales conduct, financial planning oversight, and regulatory com...
Vacancy posted 5 hours ago
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