Compliance and Supervision Specialist

1 month ago

Toronto, Ontario, Canada Wellington-Altus Full time
Job Title: Compliance and Supervision Analyst

Location: This in-office position will be based out of our Winnipeg or Toronto office.

Type: This is a Full-Time, 12-months Term position.

Our Organization:

Wellington-Altus Financial Inc. is a leading investment dealer in Canada, with a strong presence in the wealth management industry. Our organization is committed to providing exceptional service to our clients and partners.

The Opportunity:

We are seeking a highly skilled Compliance and Supervision Analyst to join our team. The successful candidate will support the Tier 1 Supervision Managers with the Supervision program, providing holistic compliance supervision support, including reviewing daily trading activities, reviewing marketing materials, and ongoing monitoring research.

Key Responsibilities:

  • Conduct Tier 1 supervision activities, including reviewing and approving daily, monthly, and quarterly trade reports.
  • Follow up on supervision queries, marketing reviews, and monitoring social media.
  • Assist registrants of the firm in resolving compliance issues with respect to regulatory guidelines interpretation and with inquiries relating to acceptance of unique or exceptional situations.
  • Participate in internal compliance reviews and external regulator reviews as required.
  • Support with Tier 2 Supervision Duties as required.
  • Actively look for ways to improve the efficiency and effectiveness of the firm's system of compliance and supervision.
  • Maintain knowledge of policy and procedure changes within the firm and industry.
  • Participate in other compliance and supervision-related projects and initiatives as assigned.

Requirements:

  • Bachelor's degree in business administration, economics, or similar field of study.
  • Minimum of 2-5 years of progressive experience with a CIRO Dealer Member or bank.
  • Ability to be registered as a Supervisor with CIRO is considered an asset.
  • Experience in the wealth management or other regulated industry is a strong asset.
  • Knowledge of the financial services industry, the Canadian regulatory framework, provincial securities legislation, and the regulatory requirements of CIRO and the provincial securities regulators.
  • Proficiency with the MSOffice suite, including Word, Excel, Powerpoint, Teams, and Outlook.
  • Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
  • Strong organizational skills, and attention to detail with the ability to prioritize effectively and handle multiple tasks in a high-volume, fast-paced work environment.
  • Strong written and verbal communication skills, with the ability to communicate effectively with both Advisors and Corporate staff.
  • Strong analytical, problem-solving skills, and demonstrating sound professional judgement with an ability to collaborate.

Conditions of Employment:

  • Must be legally eligible to work in Canada.
  • 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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