Compliance & Client Success Team
Our dedicated team of regulatory compliance officers and customer support specialists ensures your financial security and satisfaction. With decades of combined experience in fintech, regulatory compliance, and client services, we're committed to providing you with the highest standards of protection and support.
Published on October 22, 2025
James Park
Chief Compliance Officer
Certifications & Background
- Former SEC Advisor
- Crypto Regulation Specialist
- Series 7 & 63 Licensed
- J.D. Securities Law
Areas of Expertise
Lisa Thompson
Risk Management Director
Certifications & Background
- CAMS Certified
- AML/KYC Expert
- CFE (Certified Fraud Examiner)
- MBA Risk Management
Areas of Expertise
David Kumar
Head of Client Success
Certifications & Background
- Multilingual Support Specialist
- 8 Years Fintech Experience
- CCXP Certified
- B.S. Business Administration
Areas of Expertise
Meet James Park: Chief Compliance Officer
James Park brings over 15 years of regulatory expertise to Wealthsimple, having served as a senior advisor at the Securities and Exchange Commission (SEC) where he specialized in emerging financial technologies and cryptocurrency regulations. His deep understanding of the evolving regulatory landscape ensures that Wealthsimple remains at the forefront of compliance standards while maintaining the flexibility to innovate.
As Chief Compliance Officer, James oversees all regulatory matters, ensuring that every aspect of Wealthsimple's operations meets or exceeds industry standards. His expertise in crypto regulation has been instrumental in navigating the complex legal frameworks surrounding digital assets, providing clients with confidence that their investments are protected by the highest standards of regulatory compliance.
James holds a Juris Doctor degree specializing in Securities Law from Columbia Law School and maintains Series 7 and 63 licenses. He regularly speaks at industry conferences on topics related to fintech regulation and has published numerous articles on cryptocurrency compliance frameworks.
"My mission is to ensure that every client can invest with complete confidence, knowing that their assets are protected by robust regulatory frameworks and industry-leading compliance practices. At Wealthsimple, we don't just meet regulatory requirements—we set the standard."
Lisa Thompson: Risk Management Director
Lisa Thompson is a Certified Anti-Money Laundering Specialist (CAMS) with over 12 years of experience in financial risk management and fraud prevention. Her expertise in AML/KYC (Anti-Money Laundering/Know Your Customer) procedures has been crucial in establishing Wealthsimple's reputation as a secure and trustworthy investment platform.
As Risk Management Director, Lisa leads a dedicated team responsible for identifying, assessing, and mitigating potential risks across all of Wealthsimple's operations. Her proactive approach to risk management combines advanced analytics with human expertise, ensuring that suspicious activities are detected and addressed before they can impact clients.
Lisa holds an MBA in Risk Management from the Wharton School and is also a Certified Fraud Examiner (CFE). She has developed proprietary risk assessment frameworks that have been adopted by multiple fintech companies and regularly conducts training sessions on fraud prevention and compliance best practices.
"Risk management isn't just about preventing problems—it's about creating an environment where clients can pursue their financial goals with peace of mind. Every security measure we implement is designed with our clients' protection and success in mind."
David Kumar: Head of Client Success
David Kumar has dedicated the past eight years to revolutionizing customer service in the fintech industry. As a multilingual support specialist fluent in English, Spanish, Mandarin, and Hindi, David ensures that Wealthsimple's diverse client base receives personalized, culturally sensitive support in their preferred language.
As Head of Client Success, David leads a team of over 50 customer support professionals who are available 24/7 to assist clients with everything from account setup to complex investment questions. His customer-first philosophy has resulted in a 98% client satisfaction rating and has established Wealthsimple as an industry leader in customer service excellence.
David holds a Bachelor of Science in Business Administration and is a Certified Customer Experience Professional (CCXP). He has implemented innovative support technologies including AI-assisted chatbots and video consultation services, while maintaining the human touch that clients value most.
"Every client interaction is an opportunity to build trust and demonstrate our commitment to their financial success. Our multilingual support team is here to ensure that language is never a barrier to achieving your financial goals with Wealthsimple."
Our Commitment to Client Security and Satisfaction
Security First Approach
At Wealthsimple, security isn't just a feature—it's the foundation of everything we do. Our compliance and risk management teams work around the clock to ensure that your investments are protected by multiple layers of security, from advanced encryption protocols to rigorous identity verification processes.
We employ bank-level security measures including 256-bit SSL encryption, two-factor authentication, and continuous monitoring for suspicious activities. Our AML/KYC procedures exceed industry standards, ensuring that every account is thoroughly verified and protected against fraud.
- Bank-level 256-bit encryption
- Two-factor authentication
- 24/7 fraud monitoring
- Regular security audits
Exceptional Client Support
Our client success team is dedicated to providing you with the support you need, whenever you need it. With multilingual support available in English, Spanish, Mandarin, and Hindi, we ensure that language is never a barrier to receiving exceptional service.
Whether you have questions about your account, need help with a transaction, or want guidance on investment strategies, our team of experienced professionals is here to help. We pride ourselves on response times that are among the fastest in the industry, with most inquiries resolved within minutes.
- 24/7 multilingual support
- Average response time under 2 minutes
- 98% client satisfaction rating
- Video consultation available
Regulatory Excellence and Industry Recognition
Our team's expertise and dedication have earned Wealthsimple recognition as one of the most trusted and secure investment platforms in the industry. We're committed to maintaining the highest standards of regulatory compliance while providing exceptional client service.
Your Financial Security is Our Priority
The compliance and client success team at Wealthsimple works tirelessly to ensure that your investment experience is not only profitable but also secure and supported. From regulatory oversight to multilingual customer support, we're here to help you reach your financial goals with confidence.
Industry Certifications
CAMS, CFE, CCXP, Series 7 & 63
Multilingual Support
English, Spanish, Mandarin, Hindi
Always Available
24/7 support, 365 days a year