Compliance and Supervision Analyst

3 months ago

Toronto, Canada Wellington-Altus Full time

Compliance and Supervision Analyst

Location : This in-office position will be based out of our Winnipeg or Toronto office.

Type: This is a Full-Time, 12-months Term position.

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, Supervision, the Compliance and Supervision Analyst will support the Tier 1 Supervision Managers with the Supervision program. The incumbent’s daily tasks will provide holistic compliance supervision support including; reviewing daily trading activities, reviewing marketing materials, and ongoing monitoring research. The Compliance and Supervision Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.

Key responsibilities include:

As assigned, conducting Tier 1 supervision activities, including reviewing and approving daily, monthly, and quarterly trade reports. Following up on supervision queries, marketing reviews, and monitoring social media. Assisting registrants of the firm in resolving compliance issues with respect to regulatory guidelines interpretation and with inquiries relating to acceptance of unique or exceptional situations. Participating in internal compliance reviews and external regulator reviews as required. Supporting with Tier 2 Supervision Duties as required. Actively looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision. Continually looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision. Maintaining knowledge of policy and procedure changes within the firm and industry. 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 in business administration, economics, or similar field of study. A minimum of 2-5 years of progressive experience with a CIRO Dealer Member or bank. An ability to be registered as a Supervisor with CIRO is considered an asset.  Experience in the wealth management or other regulated industry is a strong asset. A CSC, CPH, and Investment Dealers Supervisors Course would be considered an asset. Knowledge of the financial services industry, the Canadian regulatory framework, provincial securities legislation, and the regulatory requirements of CIRO and the provincial securities regulators. 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.

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:

  • Compliance Supervision Analyst

    1 day ago

    Toronto, Canada Wellington-Altus Private Wealth Inc. Full time

    **Compliance Supervision Analyst** **Location**: This position can be based in our Toronto, Winnipeg, Calgary, or Burlington 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.,...

  • Compliance Analyst, Trade Supervision

    6 months ago

    Toronto, Canada Sun Life Full time

    You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll...

  • Analyst, Supervision

    6 months ago

    Toronto, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Compliance Analyst

    3 months ago

    Toronto, Canada Robertson and Company Full time

    Our client is a top financial institution with significant North American holdings. They have operations across most major verticals, including institutional & corporate, wealth management, private client, commercial banking, treasury, and retail banking. Introduction: Robertson is seeking a skilled Compliance Analyst with 4 - 6 years of relevant experience...

  • Compliance Analyst

    4 months ago

    Toronto, Canada Questrade Financial Group Full time

    Compliance Analyst 5700 Yonge St, North York, ON M2M 4K2, Canada Req #2900 Friday, August 16, 2024 Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing...

  • Compliance Analyst

    3 months ago

    Toronto, Canada Canada Life Assurance Company Full time

    Compliance Analyst **Description: - Permanent Full Time- The Compliance Analyst is accountable for collection and reporting duties associated with the ITSM processes. The Compliance Analyst works closely with the process managers and process owners to ensure that timely, clear, and concise data is provided for each process. Canada Life’s control set...

  • Compliance Analyst

    6 months ago

    Toronto, Canada Pala Interactive Full time

    **Pala Interactive** is a full-service, real-money and social gaming technology provider and operator. Pala offer a full spectrum of games across all distribution channels (web, download, tablet & smartphone) which include casino, poker and bingo for real money and social gaming. **Overview** Pala Interactive is looking for a Compliance Analyst to work in...

  • Compliance Analyst

    1 week ago

    Toronto, Canada Corpay Full time

    What We Need Corpay is currently looking to hire a Compliance Analyst within our Legal division. The Compliance KYC Analyst is responsible for ensuring that the company's onboarding processes adhere to all relevant laws, regulations, and standards related to customer identification and verification processes. Exercises judgment in connection with our values,...

  • Compliance Analyst, Business Integrity

    7 months ago

    Toronto, Canada Questrade Financial Group Full time

    Questrade Financial Group (QFG) of Companies is committed to helping our customers become much more financially successful and secure. We are everything a traditional financial institution is not. At QFG, you will be constantly moving forward, bringing the future of fintech into existence. You will be a part of a collaborative team that cares deeply about...

  • Compliance Analyst @toronto, On

    6 months ago

    Toronto, Canada Atlantis IT group Full time

    **Role: Complaince Analyst** **Location: Toronto, ON** **Duration: Long term** **Description**: Organization NextGen environment is currently looking for a Compliance Analyst/Engineer for our SOC2 Certifications (Type 1 and 2) for our Service Offerings. NextGen Cloud provides a highly secure platform which provides differentiation across a Global platform...

  • Compliance Analyst/Officer

    7 months ago

    Toronto, Canada CB Canada Full time

    Compliance Analyst/Officer On behalf of our client in the Banking Sector, PROCOM is looking for a Compliance Analyst/Officer. Compliance Analyst/Officer – Job Description The Global Compliance Department is responsible for overseeing Regulatory Compliance across enterprise in accordance with the Global Compliance Framework This includes ensuring that...

  • Compliance Systems Analyst

    3 months ago

    Toronto, Canada Wellington-Altus Full time

    Compliance Systems Analyst Location: This in-office position will be based out of our Winnipeg or Toronto 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...

  • Compliance Analyst

    6 months ago

    Toronto, Canada Ontario Teachers' Pension Plan Full time

    The opportunity The Compliance Department’s vision is to be a trusted partner and advisor to help Teachers’ business divisions effectively balance risk, regulatory compliance, and related best practices in accordance with Ontario Teachers’ risk tolerance and to help build a sustainable culture of compliance. The Compliance Analyst will primarily...

  • Analyst, Compliance

    7 months ago

    Toronto, Canada BentallGreenOak Full time

    **Analyst, Compliance** **1 York | Toronto, ON** **Who We Are**: BentallGreenOak is a leading, global real estate investment management advisor and a globally-recognized provider of real estate services. BentallGreenOak serves the interests of more than 750 institutional clients with expertise in the asset management of office, industrial,...

  • Compliance - Analyst

    6 months ago

    Toronto, Canada MUFG Full time

    Compliance - Analyst **Job Summary**: The primary responsibility is to assist the Chief Compliance Officer in the activities of compliance and anti-money laundering. **Primary Accountabilities**: **KYC**: - Conduct screening on Customers and related parties. - Be responsible for implementing KYC procedure - Prepares and monitors KYC review schedule based...

  • Business Solutions Specialist

    3 weeks ago

    Toronto, Ontario, Canada Business Analyst Computer Systems Full time

    At Business Analyst Computer Systems, we are seeking a skilled Business Solutions Specialist to join our team. A key responsibility of this role is to design, develop, and implement business solutions that identify and mitigate security risks, while developing and maintaining company policies. This includes consulting with clients to provide ongoing support...

  • Compliance Analyst

    7 months ago

    Toronto, Canada Secure Digital Markets Full time

    **What We Offer** At Secure Digital Markets (SDM), you can build a career in a fast-paced and pioneering industry! Secure Digital Markets is a digital asset brokerage, offering robust liquidity solutions that enable our clients to maximize their portfolio and participate in digital currency markets with greater sophistication. This is an exciting time to...

  • Compliance Analyst

    4 weeks ago

    Toronto, Canada Secure Digital Markets Full time

    **What We Offer** At Secure Digital Markets (SDM), you can build a career in a fast-paced and growing industry. SDM is a digital asset brokerage, offering robust liquidity solutions that enable our clients to maximize their portfolio and participate in digital currency markets with greater sophistication. We have an exciting opportunity for a motivated...

  • Compliance Kyc Analyst

    8 months ago

    Toronto, Canada Corpay Full time

    What We Need Corpay is currently looking to hire a Compliance KYC Analyst within our Legal Compliance division. This position falls under our Corpay Cross Border line of business and is located in Toronto ON. You will report directly to the Compliance Director and regularly collaborate with the Credit, Sales & Financial Investigation Unit teams. How We...

  • Risk and Compliance Analyst

    3 days ago

    Toronto, Canada Yamaha Motor Full time

    **Summary of Responsibilities** Yamaha Motor Finance Canada (YMFCA) is the captive finance division of Yamaha Motor Canada, which is focused on providing financial solutions to Yamaha dealers and customers through its Retail and Wholesale finance programs as well as Warranty and insurance offerings. The Risk and Compliance Analyst is a newly created role...