Compliance and Supervision Specialist

1 week ago


Toronto, Ontario, Canada Wellington-Altus Full time

About the Role:

The Compliance and Supervision Analyst will support the Tier 1 Supervision Managers with the Supervision program. This role will provide 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.

About Wellington-Altus:

Wellington-Altus Private Wealth is a leading investment dealer in Canada. With more than $30 billion in assets under administration and offices across the country, the company identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.

How to Apply:

For more information, please contact us at the application portal.



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