Senior Compliance Officer

2 weeks ago

Toronto, Ontario, Canada Wellington-Altus Full time

Job Summary:

The Senior Compliance Officer will be responsible for implementing an efficient and effective program of advice, education, and supervision for Wellington-Altus Private Wealth to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures.

Key Responsibilities:

  • Conducting tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports, account opening, and KYC updates.
  • Raising knowledge level regarding regulatory compliance and supervision practices and processes.
  • Fostering and maintaining strong, collaborative relationships with internal stakeholders and in doing so, promoting a strong culture of compliance.
  • Assisting registrants of the firm in resolving compliance issues with respect to regulatory guideline interpretation and with inquiries relating to acceptance of unique or exceptional situations.
  • Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
  • Continually looking for ways to improve the efficiency and effectiveness of the firm's system of compliance and supervision.
  • Proactively maintaining knowledge of policy and procedure changes within the firm and industry.
  • Identifying needs to amend or update policies, procedures and processes and coordinating with AVP and or VP for updates to PPM and/or training of corporate staff or registrants.
  • Acting as a floater supervisor to assist in supervision when other Supervisors or Managers, Supervision are absent.
  • Participating in other compliance and supervision-related projects and initiatives as assigned.

Requirements:

  • Bachelor's degree in business administration, finance, or similar field of study.
  • Minimum of 5 years of progressive experience with a CIRO Dealer Member, including 2 years in a compliance or supervisory role.
  • Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
  • Must be registered as a CIRO Options Supervisor.
  • Completion of CIM designation and Registration as a Managed Accounts Supervisor is an asset.
  • Familiarly with National Bank Independent Network (NBIN) back-office systems, procedures and reports an asset.
  • Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple competing priorities and deadlines.
  • Capacity to engage constructively and respectfully with individuals of diverse backgrounds and abilities to achieve high quality outcomes.
  • Strong written and verbal communication skills, with the demonstrated ability to communicate effectively and tactfully.
  • Proven analytical and problem-solving skills and demonstrated sound professional judgement.
  • Reliable, consistent work ethic.
  • Proficiency in Microsoft Office tools, including Word and Excel.
  • Proficient in French language would be considered an asset.

Conditions of Employment:

  • Must be legally eligible to work in Canada.
  • Current registration in the Supervisor category with CIRO.
  • A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

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

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