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Branch Compliance Auditor
3 months ago
Location: This role can be performed from any of our office locations across Canada.
About Us:
Established in 2017, Wellington-Altus Financial Inc. is the parent company of several subsidiaries, including Wellington-Altus Private Counsel Inc. and Wellington-Altus Private Wealth Inc. We are recognized as a leading investment dealer in Canada, managing over $30 billion in assets and serving high-net-worth clients through a network of entrepreneurial advisors and portfolio managers.
Position Overview:
Reporting to the Associate Vice President of Compliance, the Branch Compliance Auditor will oversee the Compliance Branch Audit Review Program. The ideal candidate will demonstrate strong analytical abilities, meticulous attention to detail, and a solid background in the financial services sector, along with a good understanding of investment products and services. Familiarity with CIRO/IIROC regulations and industry standards is advantageous.
Key Responsibilities:
- Conduct thorough audits of various branches to ensure compliance with regulatory standards and internal protocols.
- Perform audits on diverse topics, including KYC, KYP, investment suitability, AML, marketing, and trade execution.
- Coordinate interviews with Investment Advisors to verify adherence to internal processes and regulatory obligations.
- Draft branch audit reports promptly after completing audits.
- Assist in developing new processes or modifying existing ones to ensure compliance with regulations.
- Build and maintain positive relationships with advisors throughout the audit process.
- Stay informed about regulatory changes and updates to internal policies.
- Support data collection for compliance-related inquiries and regulatory requests.
- Prepare reports for the Compliance Department as needed.
- Engage in various compliance and supervision-related projects as assigned.
- Perform additional duties as required.
Qualifications:
- A bachelor's degree or equivalent education in business, finance, accounting, or a related discipline.
- 2-3 years of experience in the financial services industry.
- Completion of the CSC or CPH is a plus.
- Proficiency in MS Office applications, particularly advanced Excel functions.
- In-depth understanding of IIROC regulations and industry best practices is preferred.
- Knowledge of financial products and business processes within an investment dealer or advisory firm.
- Exceptional interpersonal skills with the ability to communicate effectively across various platforms.
- Strong analytical, organizational, and problem-solving capabilities.
- Ability to work independently and collaboratively within a team environment.
- Excellent organizational skills to manage sensitive and detailed information efficiently.
- Proven ability to establish and maintain professional relationships.
- Outstanding verbal and written communication skills.
- Strong attention to detail with the capacity to identify and address issues promptly.
Employment Conditions:
- Must be legally eligible to work in Canada.
- A background check may be required prior to employment.
Wellington-Altus Private Wealth is dedicated to promoting equity and diversity within its workforce and encourages applications from individuals of diverse backgrounds. We welcome all qualified candidates who can contribute to the diversity of our organization.
