Compliance Analyst

2 weeks ago

Calgary, Canada The WealthCo Group of Companies Full time

WealthCo is currently seeking an experienced, enthusiastic full time **Compliance Analyst **to join our growing team, who will be an exceptional addition to our head office in Calgary, Alberta. This position offers the advantages of growing and learning alongside accomplished business leaders in the Wealth Management industry. WealthCo offers mentoring programs through experienced VP’s and senior executives.

An entrepreneurial and innovative spirit are highly valued at WealthCo and align to our core values. Team members are encouraged to work within their unique ability. By doing what we are passionate about on a daily basis, we become more productive, engaged, and successful.

As a Compliance Analyst, your focus will be to ensure our operations adhere to all relevant regulatory requirements and industry best practices. This position will play a crucial role in safeguarding the firm's reputation and client trust by implementing and monitoring compliance programs.

Working in a team environment, you will support the company’s goals and objective by:

- Perform regular compliance monitoring activities to identify and address any potential compliance issues.
- Conduct risk assessments to identify potential areas of compliance vulnerability and risk.
- Collaborate with internal stakeholders to develop and implement risk mitigation strategies.
- Prepare and submit timely reports to management and regulatory authorities as required.
- Provide training to employees on compliance-related matters to ensure a comprehensive understanding of regulatory obligations.
- Conduct internal investigations as required, in coordination with legal and leadership, to address compliance concerns.
- Develop and implement corrective action plans in response to compliance issues.
- Facilitate internal and external audits by providing necessary documentation and support.
- Work closely with auditors to address any findings and implement recommended improvements.
- Assist with the development and maintenance of compliance policies and procedures.
- Bachelor’s Degree in Finance, Business, Law, or a related field.
- Professional certifications such as Certified Regulatory Compliance Manager (CRCM) or similar would be an asset.
- Minimum 3 years experience in a compliance role within the financial services or investment management industry.
- In-depth knowledge of relevant regulatory frameworks in Alberta and Canada.
- Strong analytical and problem-solving skills.
- Excellent written and oral communication
- Strong attention to detail; self starter
- Creative and proactive approach to managing multiple priorities; excellent time management and organizational skills

WealthCo’s mission is to change the financial services industry. By leveraging the unique relationship between an accountant and their client, we are able to help better serve them through our Integrated Advisory model. WealthCo serves our clients through Wealth Planning, Risk Management, Asset Management, Group Benefits, and Integrated Advisory across Western Canada.

**Salary**: $70,000.00-$90,000.00 per year

**Benefits**:

- Company events
- Dental care
- Disability insurance
- Employee assistance program
- Extended health care
- Life insurance
- On-site parking
- Paid time off
- RRSP match
- Tuition reimbursement

Flexible Language Requirement:

- French not required

Schedule:

- Monday to Friday

**Education**:

- Bachelor's Degree (preferred)

**Experience**:

- financial services or investment management compliance: 3 years (preferred)

Ability to Commute:

- Calgary, AB T2C 3E7 (preferred)

Work Location: In person

Application deadline: 2024-02-28
Expected start date: 2024-03-18

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