Supervisor

2 days ago

Winnipeg, Canada Wellington-Altus Private Wealth Inc. Full time

**Supervision**

**Location**: This in-office position will be based out of our Winnipeg, Calgary, or Toronto office.

**Our organization**:
Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With more than $35 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.
- Investment Executive 2024 Brokerage Report Card.

**The opportunity**:
Reporting to the Associate Vice-President, Supervision, the Supervisor will be registered with the Canadian Investment Regulatory Organization (CIRO) and charged with the responsibility of supervising the activities of all registrants of the firm.

The Supervisor will be responsible for implementing an efficient and effective program of advice, education, and supervision for WAPW to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures.

**Key responsibilities include**:

- Conducting tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports, account opening, and KYC updates.
- Raising knowledge level regarding regulatory compliance and supervision practices and processes.
- Fostering and maintaining strong, collaborative relationships with internal stakeholders and in doing so, promoting a strong culture of compliance.
- Assisting registrants of the firm in resolving compliance issues with respect to regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
- Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
- Continually looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision.
- Proactively maintaining knowledge of policy and procedure changes within the firm and industry.
- Identifying needs to amend or update policies, procedures and processes and coordinating with AVP and or VP for updates to PPM and/or training of corporate staff or registrants.
- Acting as a floater supervisor to assist in supervision when other Supervisors or Managers, Supervision are absent.
- Performing activities as delegated and needed by team. May include - review of daily, monthly, and quarterly trade reports, reviewing NCAFs or KYC updates, trade cancels and corrections, account activity requests.
- Participating in dialogue with managers and advisors regarding inquiries, supervision/compliance issues.
- Maintaining ongoing, and engaging in, consistent dialogue with corporate staff and registrants within the region.
- Participate with managers in day-to-day work to train in different areas of supervision.
- Build strong relationships with team and facilitate connected thinking between Compliance, Supervision, Advisors, and corporate staff.
- Participate in or lead compliance and supervision related projects and initiatives, as assigned.
- A Bachelor’s degree in business administration, finance, or similar field of study.
- Minimum of 5 years of progressive experience with CIRO Dealer Member, including 2 years in a compliance or supervisory role.
- Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
- Proficient in French language would be considered an asset.
- Must be registered as a CIRO Options Supervisor.
- Ability to be registered as a Supervisor with CIRO.
- Successful completion of the proficiency requirements for a Supervisor including Canadian Securities Course, Conduct and Practices Handbook, Investment Dealers Supervisors Course, and currently registered as IR/RR.
- Completion of CIM designation and Registration as a Managed Accounts Supervisor is an asset.
- Continue to maintain current knowledge of industry trends and engage in regular training.
- Knowledge of the financial services industry, CIRO, and provincial securities regulators.
- Familiarly with National Bank Independent Network (NBIN) back-office systems, procedures and reports an asset.
- Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple competing priorities and deadlines.
- Strong written and verbal communication skills, with the demonstrated ability to communicate effectively and tactfully.
- Proven analytical and problem-solving skills and demonstrated sound professional judgement.
- Reliable, consistent work ethic.
- Proficiency in Microsoft Office tools, including Word and Excel.
- Proficient in French language would be considered an as

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