Compliance Leadership Manager

3 days ago

Greater Toronto Area, Canada LHH Full time

**Overview of the Company**

Wellington-Altus Financial Inc. is a leading investment dealer in Canada, operating under the parent company Wellington-Altus Group Solutions Inc. Founded in 2017, the organization has grown to become one of Canada's Best Managed Companies with over $30 billion in assets under administration and offices across the country.

Job Summary

The Vice-President, Supervision & Manage Programs will lead the Compliance program and team responsible for the Supervision programs for Wellington-Altus Private Wealth (WAPW), Wellington-Altus Private Counsel (WAPC), and Wellington-Altus USA (WA USA). The incumbent will be responsible for building and maintaining an efficient and effective program of supervision for all three business lines to ensure the firm and its registrants adhere to regulatory requirements, internal policies, and procedures while providing exceptional compliance support to Investment Advisor teams.

The incumbent will also support the SVP, Compliance & Chief Compliance Officer in collaboration with Compliance Leadership to drive the compliance program forward with a focus on practical solutions, regulatory compliance, and advisor experience.

About this Role

  • Lead the WAPW Compliance & Supervision program, working with our CIRO dealer for tier 1 and 2 supervision, marketing, and AML monitoring.
  • Provide advisory support for technology changes and strategic initiatives as related to managed programs and other business advancements within WAPW.
  • Participate in Managed Product and Managed Account Committee Meetings.
  • Coach and lead a team of people leaders & compliance supervisors to administer a risk-based compliance program, leveraging technology and influencing best practices.
  • Responsible for driving the overall Compliance Program for WAPC and WA USA, including Investment Advisor education, registration, regulatory filings, compliance policies and procedures.
  • Provide compliance support for business through training Supervisors, attending leadership meetings, and working with advisor teams.
  • Coaching and leading supervisory staff.
  • Support relationship onboarding management, including overseeing options trading, new accounts openings, OA approvals, account NCAF approvals, and market surveillance.
  • Act as the primary point for escalations, raising to CCO where non-compliant material has been identified.

**Requirements**

  • Functional Competencies:
    • Experience leading high performing teams in a rapidly evolving, complex work environment.
    • Experience leveraging innovation and technology in designing effective compliance programs.
    • Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
    • Proven analytical and problem-solving skills and demonstrated sound professional judgement.
    • A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
    • Strong critical thinking and written and verbal communication skills.
    • An ability to maintain the highest levels of confidentiality.
    • Strong organizational skills and the ability to effectively manage changing priorities and in a high volume, fast-paced work environment.
    • Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
    • Ability to drive for results independently and lead a team to deliver the same.
    • Excellent attitude and commitment to providing extraordinary service.
    • An excellent attention to detail.
  • Leadership Competencies:
    • Accountability.
    • Adaptability & Flexibility.
    • Advisor Focus.
    • Drive for Results.
    • Entrepreneurship.
    • Initiative.
    • Teamwork & Collaboration.

**Role Requirements**

  • An undergraduate degree in business, finance, economics, or similar field of study.
  • A minimum 8-10 years' progressive experience with a CIRO Dealer Member.
  • In-depth knowledge of the regulatory framework in Canada, with emphasis on CIRO and CSA requirements.
  • Previous experience with registrations, and experience working with regulators directly to support the compliance function within a large firm.
  • Familiarity with SEC rules is considered an asset.
  • Previous people leadership experience with mid to large-sized teams.
  • Experience as a registered Supervisor of managed accounts and/or options preferred.
  • Experience with Portfolio Aid, Global Relay, and/or Envestnet and client onboarding tools is a strong asset.
  • Bilingual in English and French, written, and oral is considered an asset.
  • A CFA or CIM designation and registrations as a Portfolio Manager of Advising Representative is considered an asset.
  • Past CCO experience, Lawyer, or Accountant is an asset.

**Salary Range**

This role offers a competitive salary range of $120,000 - $180,000 per annum, depending on experience and qualifications.

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