Compliance Systems Analyst Position

1 week ago

Winnipeg, Manitoba, Canada Wellington-Altus Full time

Compliance Systems Analyst Role

About the Opportunity

Wellington-Altus Financial Inc. is seeking a skilled Compliance Systems Analyst to join our team. As a key member of our Compliance Team, you will be responsible for supporting the development and implementation of technology solutions to enhance the effectiveness of Supervisors.

Key Responsibilities

  • Optimize technology usage to drive improvements in daily technology practices and support scalable growth within the organization.
  • Manage migration by supporting a comprehensive project plan.
  • Ensure the integrity of the digital compliance framework by overseeing data flows, documenting processes, and ensuring adherence to legal requirements.
  • Analyze Compliance's systems through change management and day-to-day support, interpreting compliance-related data to identify trends, gaps, and areas for improvement.
  • Keep current with regulatory changes and industry best practices.
  • Conduct risk assessments to identify potential compliance risks, manage compliance-related data, and develop strategies to mitigate these risks while supporting the implementation of effective 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.
  • Be responsible to thoroughly understand and communicate stakeholder requirements and distributing relevant information, documentation and artifacts to project stakeholders.
  • Assist with the controls and documentation in relation to the release and implementation of any new functionality, or changes to current Compliance configuration.
  • Ensure modifications and upgrades are successfully tested before implementation to the production environment.
  • Coordinate, test and implement mass data changes to the Compliance system.
  • Represent Compliance from a system and business process perspective on various teams.
  • Plan, arrange and in some instances, provide training for staff as needed on the use of the Compliance system; including initial training for new users, training on new processes or training to groups on specific functionality.
  • Write reports, correspondence, policies, testing and document other Compliance applications.
  • Ensure the Compliance system processes meet the needs of the organization, employees, Advisors and other stakeholders through researching best practices and promoting continuous improvement.
  • Work with the appropriate business partners to formulate recommendations and strategies for process improvements and create optimal Compliance solution designed to meet business objectives.

Requirements

  • A bachelor's degree in business administration, finance, accounting, or a related field.
  • Industry courses such as CSC & Supervisors Course would be considered assets.
  • A 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.
  • An ability to manage multiple priorities and work effectively under pressure.
  • High attention to detail and accuracy.
  • Strong ethical standards and integrity.
  • An ability to work independently.
  • An ability to work collaboratively within a team.
  • A 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 is strongly committed to equity and diversity within its community and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders. All qualified individuals who would contribute to the further diversification of our organization are encouraged to apply.

If you require accommodation for the recruitment process, please let us know at the point of application.

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