Compliance and Supervision Specialist
1 week ago
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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