Associate, Trade Surveillance

Build something people love Wealthsimple is Canada’s leading financial innovator. The company offers a full suite of simple, sophisticated financial products across managed investing, do-it-yourself trading, cryptocurrency, tax filing, spending and saving. Wealthsimple currently serves more than 4 million Canadians and holds over $125 billion in assets under administration. The company was founded in 2014 by a team of financial experts and technology entrepreneurs, and is headquartered in Toronto, Canada. We're proud of what we've built — and we're just getting started. Read our Culture Manual and learn more about how we work . 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. In this role you will be responsible for: 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. We're looking for someone who brings: 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, OR 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. Why Wealthsimple? 🌸 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 🌎 We are a hybrid team with over 1,500 employees across North America. The people are one of the best parts of working here: you'll collaborate with incredibly talented, curious, and driven teammates who are deeply committed to doing great work. ICYMI Technology & Innovation at Wealthsimple: We move quickly and build thoughtfully. That means we're always looking for better ways to work — whether that's new tools, AI, or rethinking how we approach a problem. We don't expect you to have all the answers, but we do expect curiosity and a willingness to evolve alongside the products we're building. Inclusion Statement: We're building products for a diverse world, and we need a diverse team to do it well. We strongly encourage applications from everyone, regardless of race, religion, colour, national origin, gender, sexual orientation, age, marital status, or disability status. Accessibility Statement: We're committed to an accessible hiring experience. If you need any accommodations throughout the interview process, please let us know — we'll work with you to make sure you have what you need. We also welcome any feedback on how we can better accommodate candidates with accessibility needs. AI in Hiring: We may use artificial intelligence (AI) tools to support parts of our hiring process, such as reviewing applications, analyzing resumes, or assessing responses. These tools assist our team but don't replace human judgment – all final hiring decisions are made by people. If you have questions about how your data is used, reach out to us.