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Compliance Analyst, Branch Audit

2 months ago

Winnipeg, Canada Wellington-Altus Full time

Compliance Analyst, Branch Audit

Location: This position can be based out of any of our office locations across Canada.

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., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With more than $30 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 2024 Brokerage Report Card.

The opportunity:

Reporting to the Associate Vice President, Compliance, the Compliance Analyst, Branch Audit will be responsible for conducting the Compliance Branch Audit Review Program. The ideal successful candidate will possess an analytical mindset with exceptional attention to detail, previous experience in the financial services industry, and familiarity with investment products and services. Knowledge of CIRO/IIROC regulations and industry best practices would be considered an asset.

Key responsibilities include:

Conducting comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures. Executing audits based on a variety of topics including but not limited to KYC, KYP, investment suitability, AML, marketing, trade execution, etc. Scheduling interviews with Investment Advisors to ensure internal processes and regulatory requirements are adhered to. Preparing branch audit reports in a timely manner following the completion of branch audits. Assisting in the implementation of new processes or amending current ones to ensure regulatory requirements are being met. Fostering strong relationships with advisors during the branch audit process Keeping apprised of regulatory developments and changes to internal policies and procedures. Supporting the collection of data for compliance-related and/or regulatory requests (e.g., IIROC). Preparing reports, as requested, for use by the Compliance Department. 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 post-secondary education in business, finance, accounting, or a related field. A minimum of 2-3 years of experience in the financial services industry. Successful completion of the CSC or CPH would be considered an asset. Proficiency with MS Office (i.e., Word, Excel, PowerPoint), and some knowledge of advanced MS Excel functions (e.g., VLOOKUP, pivot tables. In-depth knowledge of IIROC regulations and industry best practices would be considered an asset. Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm. Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).​ Demonstrated analytical, organizational, and problem-solving skills. An 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. An 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: