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Compliance Analyst
56 minutes ago
Compliance Analyst
Location: This posting is for an existing vacancy in Wellington-Altus's Toronto or Calgary 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 Senior Manager, Compliance, the Compliance Analyst will be responsible for assisting our Tier 1 Supervision Managers with the Supervision program. Daily tasks will vary and will look to provide holistic compliance supervision support which may also include a review of Tier 2 Daily, Monthly, and Quarterly trading. The Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.
Key responsibilities include:
- Supervision Activities
- Monitor email communications and social media for regulator risks to identify red flags or unusual activity.
- Perform Tier 2 supervision duties assigned, which may include more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process.
- Compliance Support to Registrants
- Provide guidance and support to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations.
- Assist with resolving compliance-related issues.
- Serve as a trusted resource for addressing inquiries related to firm policies, business practices and regulatory interpretations.
- Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
- Compliance Reviews
- Participate in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes.
- Support external regulatory reviews by preparing documentation, responding to requests and assisting in implementing follow-up actions or remediation.
- Policy Awareness and Ongoing Learning
- Maintain a current understanding of the firm's internal policies and procedures, as well as applicable industry regulations and compliance trends.
- Stay informed about regulatory changes and participate in training sessions or industry forms as appropriate.
- Participating in other compliance and supervision-related projects and initiatives as assigned.
The ideal candidate will possess:
- A bachelor's degree in business, finance, economics, or a similar field of stud.
- Minimum 2 years, up to 5 years (preferred) of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.
- Experience in a Tier 2 supervisory role is a strong asset.
- Experience in wealth management or other regulated industry is a strong asset.
- Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is required.
- Proficiency with the MSOffice suite, including Word, Excel, Powerpoint, Teams, and Outlook.
- Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
- Strong organizational skills, and attention to detail with the ability to prioritize effectively and handle multiple tasks in a high-volume, fast-paced work environment.
- Strong written and verbal communication skills, with the ability to communicate effectively with both Advisors and Corporate staff.
- Strong analytical, problem-solving skills, and demonstrating sound professional judgement with an ability to collaborate.
- Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
- A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
- Strong critical thinking and written and verbal communication skills.
- An ability to maintain the highest levels of confidentiality.
Compensation & Benefits:
Range $47,000 - $60,000 annually.
This range represents Wellington-Altus's expected range of compensation for this position. Actual compensation will vary and will be based on various factors, such as location, skills, experience, and qualification for the role. Compensation for part-time roles will be pro-rated based on number of hours regularly worked.
Wellington-Altus's total compensation package for employees may also include discretionary bonuses as well as other perks and rewards. Wellington-Altus also offers health insurance, accident and life insurance, and other unique benefits per location.
Conditions of employment:
- Must be legally eligible to work in Canada.
- 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-
