Compliance Analyst, Strategic Initiatives

2 weeks ago

Calgary, Canada Wellington-Altus Full time

Compliance Analyst, Strategic Initiatives

Location : This position can be based in our Toronto, Winnipeg, Calgary, or Vancouver office.

Our organization :

Founded in 2017, Wellington-Altus Financial Inc. (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., Wellington-Altus Asset Management Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* wealth advisory company in Canada and one of Canada’s Best Managed Companies. With more than $25 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 2023 Brokerage Report Card.

The opportunity:

Reporting to the Vice-President, Compliance & Regulatory Affairs, the Compliance Analyst, Strategic Initiative will provide proactive administrative support for the Compliance Department in carrying out the compliance activities of the firm with respect to compliance initiatives/projects. The incumbent will possess strong organizational skills, exceptional attention to detail, and be responsible for leveraging technology to improve the analyst function.

Key responsibilities include:

Providing support for various Compliance strategic initiatives/projects. Managing and maintaining Compliance, Supervisor, and Advisor code allocations within various Compliance platforms. Managing Compliance user functionalities within various Compliance platforms (i.e. Envestnet). Engaging with the internal data team to develop, generate, and maintain regulatory reports. Assisting the implementation of new processes or improving current ones to ensure regulatory requirements are met. Preparing various reports for use by the Compliance Department. Keeping apprised of regulatory developments and changes to internal policies and procedures. Participating in other compliance and supervision-related projects and initiatives as assigned. Performing other duties as assigned.

The ideal candidate will possess:

A bachelor's degree or diploma in business, finance, accounting, or a related field. A minimum of 2 years of experience in the financial services industry. Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm. Proficiency with MS Office (i.e., Word, Excel, PowerPoint), and some knowledge of advanced Excel functions (i.e., VLOOKUP, pivot tables). Successful completion of the CSC or CPH would be considered an asset. In-depth knowledge of CIRO regulations and industry best practices would be considered an asset. Demonstrate analytical, organizational, and problem-solving skills. Ability to work independently with minimal supervision and collaboratively as part of a team. Strong organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information. Ability to build and maintain professional relationships (e.g., with advisors and other compliance staff). Excellent verbal and written communication skills. Strong attention to detail and ability to identify and escalate issues in a timely manner.

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:

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