Current jobs related to Branch Compliance Auditor - Winnipeg, Manitoba - Wellington-Altus Private Wealth Inc.
-
Compliance Auditor
2 months ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeThe Manitoba Government is seeking a Compliance Auditor to join our team. The successful candidate will be responsible for auditing registrants under The Real Estate Services Act and The Mortgage Brokers Act. The Compliance Auditor will perform compliance audits, review financial reports, and conduct investigations to ensure registrants comply with...
-
Compliance Auditor
2 months ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeThe Manitoba Government is seeking a Compliance Auditor to join our team. The successful candidate will be responsible for auditing registrants under The Real Estate Services Act and The Mortgage Brokers Act. The Compliance Auditor will perform compliance audits, review financial reports, and conduct investigations to ensure registrants comply with...
-
Compliance Auditor
4 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join their team.Job Summary:The Compliance Auditor will be responsible for auditing registrants under The Real Estate Services Act and The Mortgage Brokers Act to ensure compliance with applicable legislation and policies.Key...
-
Compliance Auditor
4 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join their team.Job Summary:The Compliance Auditor will be responsible for auditing registrants under The Real Estate Services Act and The Mortgage Brokers Act to ensure compliance with applicable legislation and policies.Key...
-
Compliance Auditor
4 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join our team.Job Summary:We are looking for a detail-oriented and analytical individual to perform compliance audits and ensure that registrants under The Real Estate Services Act and The Mortgage Brokers Act comply with applicable legislation...
-
Compliance Auditor
4 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join our team.Job Summary:We are looking for a detail-oriented and analytical individual to perform compliance audits and ensure that registrants under The Real Estate Services Act and The Mortgage Brokers Act comply with applicable legislation...
-
Compliance Auditor
2 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorThe Manitoba Government is seeking a highly skilled Compliance Auditor to join our team. As a Compliance Auditor, you will be responsible for auditing registrants under The Securities Act and The Commodity Futures Act to ensure compliance with applicable legislation and policies.Key Responsibilities:Conduct comprehensive...
-
Compliance Auditor
3 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join our team.Job Summary:We are looking for a detail-oriented and analytical individual to perform compliance audits and ensure that registrants under The Real Estate Services Act and The Mortgage Brokers Act comply with applicable legislation...
-
Compliance Auditor
2 months ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Conduct audits of registrants to...
-
Compliance Auditor
2 months ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Conduct audits of registrants to...
-
Compliance Auditor
3 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorThe Manitoba Securities Commission is seeking a highly skilled Compliance Auditor to join our team.Job Summary:We are looking for a detail-oriented and analytical individual to perform compliance audits and ensure that registrants under The Real Estate Services Act and The Mortgage Brokers Act comply with applicable legislation...
-
Compliance Auditor
3 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Audit registrants to ensure...
-
Compliance Auditor
3 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Audit registrants to ensure...
-
Compliance Auditor
1 month ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Conduct audits of registrants to...
-
Compliance Auditor
1 month ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Conduct audits of registrants to...
-
Compliance Auditor
4 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Conduct audits of registrants to...
-
Compliance Auditor
4 weeks ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob Title: Compliance AuditorWe are seeking a highly skilled Compliance Auditor to join our team at the Manitoba Government. As a Compliance Auditor, you will be responsible for ensuring that registrants under The Securities Act and The Commodity Futures Act comply with applicable legislation and policies.Key Responsibilities:Conduct audits of registrants to...
-
Compliance Auditor Position
1 week ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeJob SummaryThe Manitoba Government is seeking a Compliance Auditor to join our team. As a Compliance Auditor, you will be responsible for auditing registrants under The Real Estate Services Act and The Mortgage Brokers Act to ensure compliance with applicable legislation and policies. This is a challenging and rewarding role that requires strong analytical...
-
Compliance Auditor
1 month ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeThe Manitoba Government is seeking a highly skilled Compliance Auditor to join our team. As a key member of our regulatory compliance team, you will be responsible for auditing registrants under The Real Estate Services Act and The Mortgage Brokers Act to ensure they comply with applicable legislation and policies. Your duties will include performing...
-
Compliance Auditor
1 month ago
Winnipeg, Manitoba, Canada Manitoba Government Full timeThe Manitoba Government is seeking a highly skilled Compliance Auditor to join our team. As a key member of our regulatory compliance team, you will be responsible for auditing registrants under The Real Estate Services Act and The Mortgage Brokers Act to ensure they comply with applicable legislation and policies. Your duties will include performing...
Branch Compliance Auditor
3 months ago
Location: This role offers flexibility to be based from various office locations across Canada.
About Us:
Established in 2017, Wellington-Altus Financial Inc. serves as the parent organization for 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 earning accolades as one of Canada's Best Managed Companies.
Position Overview:
The Compliance Analyst, Branch Audit will report directly to the Associate Vice President of Compliance. This role is crucial for executing the Compliance Branch Audit Review Program. The ideal candidate will demonstrate a keen analytical ability, meticulous attention to detail, and a solid background in the financial services sector, along with an understanding of investment products and services. Familiarity with CIRO/IIROC regulations and industry standards is advantageous.
Key Responsibilities:
- Conduct thorough audits of various branches in line with regulatory mandates and internal guidelines.
- Perform audits covering diverse topics such as KYC, KYP, investment suitability, AML, marketing, and trade execution.
- Arrange interviews with Investment Advisors to ensure compliance with internal and regulatory standards.
- Draft branch audit reports promptly following the completion of audits.
- Assist in the development of new processes or modifications to existing ones to meet regulatory standards.
- Build and maintain positive relationships with advisors throughout the audit process.
- Stay informed on 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 within the financial services industry.
- Completion of the CSC or CPH is a plus.
- Proficiency in MS Office applications, particularly advanced functions in Excel.
- In-depth understanding of IIROC regulations and industry best practices is beneficial.
- Familiarity with financial products and processes within an investment dealer or advisory firm.
- Strong interpersonal skills with the ability to communicate effectively across various platforms.
- Demonstrated analytical, organizational, and problem-solving capabilities.
- Ability to work independently and collaboratively within a team environment.
- Excellent organizational skills to manage a high volume of detailed and confidential information.
- Capacity to foster professional relationships with advisors and compliance personnel.
- Outstanding verbal and written communication skills.
- Strong attention to detail with the ability to identify and escalate issues promptly.
Employment Conditions:
- Eligibility to work in Canada is required.
- A satisfactory background check may be necessary prior to employment commencement.
Wellington-Altus Private Wealth is dedicated to promoting equity and diversity within its workforce and encourages applications from individuals of diverse backgrounds.
