Associate Vice-president, Transitions

1 week ago

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

**Associate Vice-President, Transitions & Advisor Experience**

**Location**: This position can be based in our Winnipeg/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., Wellington-Altus Asset Management Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* wealth advisory company in Canada and one of Canada’s Best Managed Companies. With more than $25 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 2023 Brokerage Report Card._

**The opportunity**:
Reporting to the Chief Compliance Officer, Wellington-Altus Private Wealth (WAPW), the Associate Vice-President, Transitions & Advisor Experience (AVP) will provide leadership, direction and support to WAPW’s Compliance Team. The AVP will be responsible for leading the compliance portion of the transition program and will also support the department by working with stakeholders across the business to improve processes within compliance and compliance related business processes.

The AVP will be responsible for maintaining an efficient and effective program to ensure the successful transition and onboarding of recruiting teams, and to bolster the compliance program by identifying and remedying process for improvement with a focus on scalability, practicality and meeting regulatory requirements.

**Key responsibilities include**:

- Providing leadership and direction to a team responsible for assisting with the onboarding of recruits.
- Where applicable, developing, managing, and maintaining the Compliance Transition program for new Wellington-Altus advisors.
- Proactively identifying emerging risks and trends and making enhancements to existing policies, procedures, and controls to appropriately mitigate risk and improve the efficiency and effectiveness of the firm’s risk-based supervision program.
- Assessing systems needs for supervision and working with Operations and third-party vendors to configure and implement them.
- Fostering and maintaining strong, collaborative relationships with internal and external stakeholders.
- Promoting a strong culture of compliance
- Identifying trends in non-compliance and working with education and training teams to develop registrant and staff training programs to promote compliance and mitigate risk.
- Providing input to the ongoing development of the firm’s branch review program.
- Participating in internal compliance reviews and external regulatory reviews, as required.
- Providing regular updates and reports to the WAPW/WAPC CCO and other senior executives.
- Managing and/or participating in compliance and supervision related projects and initiatives, as assigned.
- Performing other duties as assigned.
- An undergraduate degree in business, finance, economics, or similar field of study.
- In-depth knowledge of wealth management business.
- In-depth knowledge of the regulatory framework in Canada, proficiency with IIROC rules and regulations and provincial securities legislation.
- Prior business experience (or connection) within an IIROC dealer.
- Prior licensing as an IIROC Supervisor.
- Strong organizational skills and the ability to effectively manage changing priorities in a high volume, fast-paced work environment.
- Exceptional interpersonal skills, with the ability to communicate effectively and work collaboratively.
- Proven analytical and problem-solving skills and demonstrated sound professional judgement.
- Experience leading high performing teams in a rapidly evolving, complex work environment.

**Conditions of employment**:

- Must be legally eligible to work in Canada.
- Current registration as a Supervisor with IIROC.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.
- Occasional travel may be required.

**To apply**:

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