You'll strategically develop, enhance, and continuously improve derivatives compliance programs, innovating in the derivatives space and ensuring compliance with all relevant regulations. You will be responsible for overseeing and ensuring compliance with Canadian Investment Regulatory Organization (CIRO) and Options Clearing Corporation (OCC) regulations for Wealthsimple’s derivatives business.
The Manager, Trade Desk Compliance will be responsible for overseeing and ensuring compliance with Canadian Investment Regulatory Organization (CIRO) regulations and other applicable trading rules across all trading activities conducted by the Investment Dealer. You will act as the compliance subject matter expert on trading rules, products and requirements that impact the trade desk and related regulatory requirements for the Investment Dealer and build strong collaborative relationships with Product, Trading, Operations, Engineering and Finance teams to ensure compliant implementation of business initiatives.