Compliance Systems Analyst

3 months ago

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

**Compliance Systems Analyst**

**Location**:This in-office position will be based out of our Winnipeg 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 $30 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**:
The incumbent will play a critical role in ensuring that the organization adheres to all regulatory requirements and internal policies. The Compliance Systems Analyst will analyze and support Compliance’s systems through change management, day to day support and implementation.

The Compliance Systems Analyst will also be responsible for managing compliance-related data, identifying potential risks, and develop strategies to mitigate those risks. The incumbent will also help shape the compliance tools and ensure that the organization operates within the boundaries of applicable regulations.

**Key responsibilities include**:

- Providing support for all compliance tools and systems, including user maintenance, update releases and roll out of new/improved systems and tools.
- Acting as primarily liaison between Transformation Office (TXO) and Compliance for any technology related products.
- Analyzing and interpreting compliance-related data to identify trends, gaps, and areas of improvement.
- Developing detailed reports and presenting findings to stakeholders.
- Keeping current with regulatory changes and industry best practices.
- Assessing current compliance processes and identify opportunities for enhancements.
- Collaborating with cross-functional teams to implement process improvements and ensure they are effectively integrated.
- Conducting risk assessments to identify potential compliance risks.
- Developing strategies to mitigate these risks and support the implementation of risk management measures.
- Supporting internal and external audits by providing necessary documentation and evidence.
- Assisting in addressing audit findings and implementing corrective actions.
- Maintaining and supporting Compliance technology systems & tools, including troubleshooting and problem resolution.
- Ensuring data accuracy and integrity in Compliance System.
- Being responsible to thoroughly understand and communicate stakeholder requirements and distribute relevant information, documentation and artifacts to project stakeholders.
- Being responsible for the preparation, completion and compliance of business requirements based on business needs.
- Performing other duties as assigned.
- A bachelor’s degree in business administration, finance, accounting, or a related field.
- Industry courses such as CSC & Supervisors Course would be considered assets.
- A minimum 3 years’ experience working with technology tools in a compliance or regulatory environment.
- Experience collaborating with IT partners to effectively implement and manage technology solutions.
- Experience with data analysis and risk management is highly desirable.
- Knowledge of the financial services industry, CIRO and provincial securities regulators.
- Proficiency in analysis tools and software (e.g., SQL, Power BI).
- Proficiency with the MSOffice suite, including Word, PowerPoint, Teams & Outlook.
- Familiarity with compliance systems and tools for supervision & communications monitoring.
- Strong analytical and problem-solving skills.
- Excellent communication and interpersonal skills.
- An ability to manage multiple priorities and work effectively under pressure.
- High attention to detail and accuracy.
- Strong ethical standards and integrity.
- An ability to work independently.
- An ability to work collaboratively within a team.
- A proactive approach and a strong commitment to continuous improvement.

**Conditions of employment**:

- Must be legally eligible to work in Canada.
- Must be able to travel within Canada 0-3% of the time.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

**To apply**:

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