Senior Compliance Specialist, Programs

Overview Senior Compliance Specialist, Programs — Wellington-Altus. Location: Wellington-Altus’ Toronto or Calgary office (existing vacancy). Reporting to the Associate Vice-President, Compliance Advisory Services, the Senior Compliance Specialist, Programs will develop an ongoing testing program of the Compliance Supervision duties and conduct training to ensure staff perform to the required standards for each process. This role ensures the Compliance team adheres to regulatory requirements and internal policies, supports Compliance programs through change management and day-to-day operations, and guides implementation as needed. Key responsibilities Assess training needs and design targeted programs that support compliance and supervision objectives, including a robust quality control framework aligned with Tier 1 Supervision duties. Develop and deliver training content through customized materials and interactive sessions, ensuring clarity, relevance, and alignment with regulatory expectations and firm standards. Monitor and evaluate training effectiveness using qualitative and quantitative metrics. Provide regular reporting and insights to stakeholders to inform continuous improvement and strategic decision-making. Provide ongoing coaching and mentorship to compliance team members to ensure consistent delivery of reviews that meet the firm’s standards and regulatory requirements. Review and enhance compliance processes to identify inefficiencies, gaps, and opportunities for improvement. Recommend and implement changes that strengthen operational integrity and risk mitigation. Establish and maintain internal controls to ensure adherence to regulatory requirements and internal policies, fostering accountability and compliance. Stay informed on evolving regulations and industry best practices; proactively update the compliance framework to reflect changes and maintain relevance. Communicate regulatory changes and operational impacts across the organization, ensuring teams are prepared and aligned with new requirements. Analyze compliance data and trends to uncover insights, identify systemic issues, and recommend strategic improvements that reduce risk exposure. Maintain a strong understanding of CIRO requirements of the Compliance Supervision Program. Conduct compliance risk assessments and develop strategies to mitigate identified risks; support the implementation of risk management measures. Stay current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust. Assess and enhance compliance frameworks by evaluating existing processes to identify inefficiencies and gaps; develop actionable recommendations to strengthen regulatory adherence and operational effectiveness. Lead cross-functional implementation efforts with Legal, Risk, Operations, and Technology to design and embed process improvements; ensure alignment with regulatory expectations and internal governance standards. Drive strategic compliance initiatives and contribute to enterprise-wide projects related to compliance, supervision, and risk management. Provide subject matter expertise and leadership to ensure initiatives are executed with integrity and precision. Champion continuous improvement by partnering with internal stakeholders to identify opportunities for innovation in compliance practices; facilitate workshops, feedback loops, and pilot programs to test and refine new approaches. Strengthen stakeholder relationships by fostering partnerships with senior leadership, business units, and control functions to ensure transparency, accountability, and shared ownership of compliance outcomes. Perform other duties as assigned. Qualifications Bachelor’s degree in business administration, finance, or related field. Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is an asset. Minimum of 3 years of experience in a compliance or regulatory environment. Experience collaborating with IT partners to 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 MS Office suite (Word, Excel, PowerPoint, Teams, Outlook). Familiarity with compliance systems and tools for supervision and communications monitoring. Coaching, training, and testing skills; excellent communication and interpersonal abilities. Ability to manage multiple priorities and work under pressure with high attention to detail and integrity. Ability to work independently and collaboratively within a team; proactive and committed to continuous improvement. Compensation & Benefits Range: $88,000–$132,000 annually. This range represents Wellington-Altus’s expected range for this position. Actual compensation will vary based on location, skills, experience, and qualifications. Part-time roles will be pro-rated. Wellington-Altus’s total compensation package may include discretionary bonuses and other perks. Benefits may include health insurance, accident and life insurance, and location-specific programs. 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 required. A background check may be required prior to commencing employment. Wellington-Altus Private Wealth is committed to equity and diversity and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and individuals of all sexual orientations and genders. All qualified individuals contributing to organizational diversification are encouraged to apply. If you require accommodation for the recruitment process, please inform us at the point of application. How to apply Click the Apply for This Job button to submit your resume, cover letter, and salary expectations. You will be contacted if selected for an interview. More information about working at Wellington-Altus is available at #J-18808-Ljbffr