Compliance Systems Analyst

4 days ago

Winnipeg, Manitoba, Canada Wellington-Altus Private Wealth Inc. Full time
Compliance Systems Analyst Job Description

About the Role:

We are seeking a highly skilled Compliance Systems Analyst to join our team at Wellington-Altus Private Wealth Inc. As a key member of our Compliance Team, you will be responsible for ensuring the effective implementation and management of our compliance systems and tools.

Key Responsibilities:

  • Provide technical support for all compliance tools and systems, including user maintenance, update releases, and the rollout of new/improved systems and tools.
  • Act as the primary liaison between the Transformation Office (TXO) and Compliance for any technology-related products.
  • Analyze and interpret compliance-related data to identify trends, gaps, and areas for improvement.
  • Develop detailed reports and present findings to stakeholders.
  • Stay up-to-date with regulatory changes and industry best practices.
  • Assess current compliance processes and identify opportunities for enhancements.
  • Collaborate with cross-functional teams to implement process improvements and ensure effective integration.
  • Conduct risk assessments to identify potential compliance risks.
  • Develop strategies to mitigate these risks and support the implementation of risk management measures.
  • Support internal and external audits by providing necessary documentation and evidence.
  • Assist in addressing audit findings and implementing corrective actions.
  • Maintain and support Compliance technology systems & tools, including troubleshooting and problem resolution.
  • Ensure data accuracy and integrity in Compliance Systems.

Requirements:

  • Bachelor's degree in business administration, finance, accounting, or a related field.
  • Industry courses such as CSC & Supervisors Course would be considered assets.
  • 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.
  • Ability to manage multiple priorities and work effectively under pressure.
  • High attention to detail and accuracy.
  • Strong ethical standards and integrity.
  • Ability to work independently.
  • Ability to work collaboratively within a team.
  • 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.

Wellington-Altus Private Wealth Inc. is an equal opportunities employer and welcomes applications from diverse candidates.

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