Vice-president, Compliance and Supervision

**Vice-President, Compliance and Supervision**

**Location**:This position can be based out of our Toronto, Winnipeg, Calgary, or Vancouver offices.

**Our organization**:
Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel and Wellington-Altus Private Wealth —the top-rated* wealth advisory company in Canada and one of Canada's Best Managed Companies. With more than $20 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers, and their high-net-worth clients.
- Investment Executive 2021 Brokerage Report Card

**The opportunity**:
Reporting to the Chief Compliance Officer, Wellington-Altus Private Wealth (CCO), the Vice-President, Supervision (VP, Supervision) will lead and provide direction and support to a regional supervisory team for both Wellington-Altus Private Wealth (WAPW) and Wellington-Altus Private Counsel (WAPC).

The VP, Supervision will be responsible for maintaining an efficient and effective program of supervision for WAPW and WAPC to ensure the firm and its registrants continue to adhere to all regulatory requirements, and internal policies and procedures while providing exceptional compliance support to advisor teams.

**Key responsibilities include**:

- Providing leadership, direction and coaching to a team of Investment Industry Regulatory Organization of Canada (IIROC) registered supervisors, supervisors for our provincially registered Portfolio Managers and supervision analysts.
- Acting as key compliance relationship manager for designated regional compliance advisor teams.
- Identifying emerging risks and trends and make enhancements to existing policies, procedures, and controls to appropriately mitigate risk and improve the efficiency and effectiveness of the firm’s risk-based supervision program.
- Providing guidance to supervisory team and registrants regarding interpretation of rules, assessment of risk and compliance best practices.
- Efficient execution of the firm’s supervision program, including management of any imposed terms and conditions of registration.
- Fostering and maintaining strong, collaborative relationships with internal and external stakeholders, and promoting a strong culture of compliance.
- Identifying trends in non-compliance and work with education and training team to develop registrant and staff training programs to promote compliance and mitigate risk.
- Participating in internal compliance reviews and external regulatory reviews, as required.
- Providing regular updates and reports to the CCO and other senior executives.
- Participating in compliance and supervision related projects and initiatives, as assigned.
- Performing other duties as assigned.
- An undergraduate degree in business, finance, economics, or a similar field of study.
- A minimum 15 years of progressive experience with an IIROC Dealer Member or Portfolio Manager, including 10 years in a registered supervisory capacity and 5 years managing a supervisory team.
- In-depth knowledge of the regulatory framework in Canada, proficiency with IIROC rules and regulations, and national and provincial securities legislation.
- Strong organizational skills and the ability to effectively manage changing priorities and in a high-volume, fast-paced work environment.
- Exceptional interpersonal skills, ability to communicate effectively and work collaboratively.
- Proven analytical and problem-solving skills and demonstrated sound professional judgment.
- Experience leading high-performing teams in a rapidly evolving, complex work environment.
- Experience leveraging innovation and technology in designing effective compliance programs.
- Experience as a registered Supervisor of managed accounts and/or options preferred.
- A CFA or CIM designation and registration as a Portfolio Manager of Advising Representative is considered an asset.
- Bilingual in English and French, written and oral is considered an asset.

**Conditions of employment**:

- Must be legally eligible to work in Canada.
- Current registration as a Supervisor with IIROC.
- Occasional travel will be required.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.

**To apply**:
**Experience**: Preferred
- In-depth knowledge of the regulatory framework in Canada, proficiency with IIROC rules and regulations and national and provincial securities legislation.
- 15 year(s): Progressive experience with an IIROC Dealer Member or Portfolio Manager, including 10 years in a registered supervisory capacity and 5 years managing a supervisory team.

**Education**: Preferred
- Bachelor's degree or better in Economics or related field
- Bachelor's degree or better in Finance or related field
- Bachelor's degree or better in Business Administration or related field

**Licenses & Certification