Compliance Auditor

4 weeks ago

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

Position Overview:
This role offers the opportunity to work within a dynamic environment at Wellington-Altus Private Wealth Inc., a leading investment dealer in Canada.

With over $30 billion in assets under administration, we pride ourselves on our commitment to excellence and our focus on high-net-worth clients.

Key Responsibilities:
  • Conducting thorough audits of various branches in alignment with regulatory standards and internal policies.
  • Executing audits covering a range of topics, including KYC, KYP, investment suitability, AML, marketing, and trade execution.
  • Scheduling and conducting interviews with Investment Advisors to ensure compliance with internal processes.
  • Preparing detailed branch audit reports promptly after completing audits.
  • Assisting in the development and enhancement of processes to meet regulatory requirements.
  • Building and maintaining strong relationships with advisors throughout the audit process.
  • Staying informed about regulatory changes and updates to internal policies.
  • Supporting data collection for compliance-related requests and preparing necessary reports for the Compliance Department.
  • Participating in various compliance and supervision-related projects as assigned.
Qualifications:

A bachelor's degree or equivalent education in business, finance, accounting, or a related discipline is required.
Completion of the CSC or CPH is advantageous.
Proficiency in MS Office, particularly advanced functions in Excel, is essential.

Skills:

Strong communication skills and the ability to collaborate effectively across various platforms (in-person, phone, and virtual) are crucial for success in this role.

Wellington-Altus Private Wealth is dedicated to fostering equity and diversity within its workforce and encourages applications from diverse backgrounds.

For more information about our company culture and values, please visit our website.

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