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Senior Compliance Specialist, Programs
2 weeks ago
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, Compliance Advisory Services, the Senior Compliance Specialist, Programs, will be responsible for developing an ongoing testing program of the Compliance Supervision duties and conducting training where needed to ensure staff are performing at the same standards for each process.
This incumbent will ensure that the Compliance team adheres to regulatory requirements and internal policies. This position will analyze and support Compliance's programs through change management, day-to-day support and implementation.
Key responsibilities include:
- Assessing and addressing training needs by designing targeted programs that support compliance and supervision objectives, including a robust quality control framework aligned with Tier 1 Supervision duties.
- Developing and delivering training content through customized materials and interactive sessions, ensuring clarity, relevance, and alignment with regulatory expectations and firm standards.
- Monitoring and evaluating training effectiveness using qualitative and quantitative metrics.
- Providing regular reporting and insights to stakeholders to inform continuous improvement and strategic decision-making.
- Providing ongoing coaching and mentorship to compliance team members, focusing on consistent delivery of reviews that meet the firm's standards and regulatory requirements.
- Reviewing and enhancing compliance processes to identify inefficiencies, gaps, and opportunities for improvement.
- Recommending and implementing changes that strengthen operational integrity and risk mitigation.
- Establishing and maintaining internal controls to ensure adherence to applicable regulatory requirements and internal policies, supporting a culture of accountability and compliance.
- Staying informed on evolving regulations and industry best practices, proactively updating the compliance framework to reflect changes and maintaining its effectiveness and relevance.
- Communicating regulatory changes and operational impacts across the organization, ensuring teams are prepared and aligned with new requirements through timely updates and process adjustments.
- Analyzing compliance data and trends to uncover insights, identifying systemic issues, and recommending strategic improvements that enhance oversight and reduce risk exposure.
- Maintaining a strong understanding of the CIRO requirements of the Compliance Supervision Program.
- Conducting compliance risk assessments and developing strategies to mitigate identified risks.
- Supporting the implementation of risk management measures.
- Staying current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
- Assessing and enhancing compliance frameworks: Conducting thorough evaluations of existing compliance and supervision processes to identify inefficiencies, gaps, and areas for improvement.
- Developing actionable recommendations to strengthen regulatory adherence and operational effectiveness.
- Leading cross-functional implementation efforts: Collaborating with teams across Legal, Risk, Operations, and Technology to design and embed process enhancements.
- Ensuring alignment with regulatory expectations and internal governance standards while promoting sustainable adoption.
- Driving strategic compliance initiatives: Actively contributing to enterprise-wide projects and initiatives related to compliance, supervision, and risk management.
- Providing subject matter expertise and leadership to ensure initiatives are executed with integrity and precision.
- Champion continuous improvement: Partnering with internal stakeholders to identify opportunities for innovation in compliance practices.
- Facilitating workshops, feedback loops, and pilot programs to test and refine new approaches.
- Strengthening stakeholder relationships by fostering strong, cooperative partnerships with key internal stakeholders, including senior leadership, business units, and control functions—to ensure transparency, accountability, and shared ownership of compliance outcomes.
- Performing other duties as assigned.
The ideal candidate will possess:
- A bachelor's degree in business administration, finance, or similar field of study.
- Industry courses such as CSC would be considered assets.
- A minimum of 3 years of experience in a compliance or regulatory environment would be ideal.
- Experience collaborating with IT partners to effectively implement and manage technology solutions is an asset.
- Experience with data analysis and risk management is highly desirable.
- Knowledge of the financial services industry, CIRO and provincial securities regulators.
- Proficiency in analysis tools and software (e.g. Power BI).
- Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
- Familiar with compliance systems and tools for supervision & communications monitoring.
- Coaching, training, and testing skills.
- Excellent communication and interpersonal skills.
- Ability to manage multiple priorities and work effectively under pressure.
- High attention to detail and accuracy.
- Strong ethical standards and integrity.
- Ability to work independently.
- Ability to work collaboratively within a team.
- Proactive approach and a strong commitment to continuous improvement.
Conditions of employment:
- Must be legally eligible to work in Canada.
- Must be able to travel within Canada up to 0-5% of the time as is operationally required.
- 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.
To apply:
Click the Apply for This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at Wellington-Altus can be found on our website at www.wellington-
