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Marketing Compliance Analyst

3 months ago

Toronto, Canada Wellington-Altus Full time

Marketing Compliance Analyst

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 Senior Manager, Marketing Compliance, the Marketing Compliance Analyst will be responsible for supporting the firm’s compliance programs, ensuring that marketing and advertising materials prepared by Advisor Teams and Corporate areas meet regulatory requirements across all channels including print, social media, and electronic communications.

The Marketing Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to regulatory requirements.

Key responsibilities include:

Reviewing and approving a variety of marketing and advertising materials including printed collateral, podcasts, websites, and newsletters. Identifying and reporting on risk trends and opportunities for control enhancements. Assisting the Senior Manager, Marketing Compliance to build robust, risk-based controls that can be leveraged across multiple entities and regulatory frameworks. Maintaining knowledge of policy and procedure changes within the firm and industry. Working with other Compliance teams and the Marketing department to design training for stakeholders. Fostering a strong culture of compliance and acting as a subject matter expert for Advisor Teams and Corporate employees as it relates to marketing reviews. Participating in compliance-related projects, initiatives, and reviews as assigned. Performing other duties as assigned

The Ideal candidate will possess:

A bachelor's degree in business, finance, economics, or similar field of study. A minimum of 1-2 years of experience in financial services, compliance, and/or operations, preferably with a CIRO Dealer member or a registered Portfolio Manager. General knowledge of the financial services industry, the Canadian regulatory framework, provincial securities legislation, and the regulatory requirements of CIRO and the provincial securities regulators. Familiarity with insurance, National Instrument 81-105, and US securities regulations and financial planning is considered an asset. Bilingual in French and English, both oral and written, is considered an asset. Successful completion of CSC, CPH, and Investment Dealers Supervisors Course would be considered an asset. 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. Excellent time management with the ability to prioritize appropriately and work independently to achieve goals.

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: