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Supervisor
11 hours ago
**Supervisor**
**Location**: This in-office position will be based out of our Calgary, or Toronto office.
**Our organization**:
Founded in 2017, Wellington-Altus Financial (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 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 2025 Brokerage Report Card._
**The opportunity**:
Reporting to the Associate Vice-President, Supervision, the Supervisor will be registered with the Canadian Investment Regulatory Organization (CIRO) of Canada and is responsible for supervising activities of registrants of the firm. The Supervisor will manage supervision for WAPW to ensure the firm and its registrants continue to adhere to all regulatory requirements, and internal policies and procedures.
**Key responsibilities include**:
- Conducting due diligence on Tier 1 activities including the review and approval of daily, monthly, and quarterly trade reports, new account opening and updates, and OM approvals.
- Reviewing NCAFs or KYC updates, and trade corrections.
- Providing guidance and resolution related to compliance matters.
- Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
- Educating and addressing ongoing compliance inquiries with Registrants.
- Educating and assisting Advisor teams in resolving inquiries and any compliance related matters.
- Fostering and maintaining strong, collaborative relationships by promoting a robust Compliance culture within the team and encouraging collaboration between Compliance, Supervision, Advisors, and corporate staff.
- Staying informed about current regulatory changes and maintain a strong understanding of internal policy and procedure updates within the firm and industry.
- Continually looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision.
- Participate in or lead compliance and supervision related projects and initiatives, as assigned.
- A Bachelor’s degree in business administration, finance, or similar field of study.
- A minimum of 5 years of progressive experience with CIRO Dealer Member, including 2 years in a compliance or supervisory role.
- Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
- Current registration in the Supervisor category with CIRO.
- Successful completion of Canadian Securities Course (CSC), Conduct and Practices Handbook Course (CPH), and Investment Dealers Supervisors Course (IDSC).
- Completion of CIM designation and/or options supervision courses is an asset.
- Proficient in French language would be considered an asset.
- Familiarity with National Bank Independent Network (NBIN) back-office systems, procedures and reports an asset.
- Foster strong relationships by promoting a robust Compliance culture within the team and encouraging collaboration between Compliance, Supervision, Advisors, and corporate staff.
- Knowledge of the financial services industry, CIRO and provincial securities regulators.
- Strong organizational skills and attention to detail with ability to prioritize effectively, handle multiple tasks in a fast-paced environment with changing priorities.
- Strong written, verbal and interpersonal communication skills.
- Strong analytical and problem-solving skills and sound professional judgement.
**Conditions of Employment**:
- Must be legally eligible to work in Canada.
- Current registration in the Supervisor category with CIRO.
- Must be able to travel within Canada up to 0-20% of the time.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.
**To apply**:
**Experience**: Required
- 5 year(s): Progressive experience in a compliance or supervisory role with CIRO Dealer Member.
**Education**: Required
- Bachelor's degree or better in Business Administration or related field
**Licenses & Certifications**: Required
- IDSC
- CPH
- CSC
Preferred
- RR
- IR
