Step into the role of Trade Surveillance Associate at Wealthsimple, ensuring compliance through systematic daily trading activity reviews. Conduct your work in a hybrid model with a focus on technology and regulation.
As a Trade Surveillance Associate, you will utilize your experience to oversee equities, options, and crypto trading for compliance at Wealthsimple. This role is critical in maintaining firm policies, partnering with Legal and other teams to drive regulatory projects, and reporting suspicious activities. Your analytical skills will be key in this innovative financial environment.
Key Responsibilities:
• Perform daily Tier 1 reviews of trade activities
• Action automated alerts and manual reviews
• Investigate suspicious trading activities thoroughly
• Handle regulatory audit submissions
• Train teams on trade surveillance compliance
Requirements:
• 3+ years of experience in the investment compliance sector
• Strong command of Canadian securit...