Location: This in-office position will be based out of our Calgary 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 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 $35 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, Compliance, the Senior Compliance Analyst will be responsible for completing Tier 2 supervisor functions, in addition to other Compliance Analyst functions as assigned. Daily tasks will vary and will look to provide holistic compliance supervision support, which may a review of Tier 2 daily, monthly, and quarterly trading, email/social media surveillance. The Senior Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.

Key responsibilities include:

• Monitoring email communications and social media for regulator risks to identify red flags or unusual activity.
• Performing Tier 2 supervision duties assigned, including more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process.
• Improving, developing, and maintaining Tier 2 processes and workflows.
• Assisting with training and providing support to analysts and newly onboard team members on protocols and procedures.
• Providing guidance and supporting to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations.
• Assisting with resolving compliance-related issues.
• Serving as a trusted resource for addressing inquiries related to firm policies, business practices and regulatory interpretations
• Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
• Participate in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes.
• Support external regulatory reviews by preparing documentation, responding to requests and assisting in implementing follow-up actions or remediation.
• Maintain a current understanding of the firm’s internal policies and procedures, as well as applicable industry regulations and compliance trends.
• Stay informed about regulatory changes and participate in training sessions or industry forums as appropriate.
• 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, finance, or similar field of study, or equivalent combination of education and experience.
• A minimum of 2-5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.
• A minimum of 1 year experience in a Tier 2 supervisory role is a strong asset.
• Experience in wealth management or other regulated industry is a strong asset.
• Canadian Securities Course (CSC) is an asset.
• Conduct & Practice Handbook (CPH) is an asset.
• Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals.
• Strong attention to detail.
• Excellent attitude and commitment to providing exceptional service.
• Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
• Strong problem-solving and critical thinking abilities.
• Highly organized with a consistent and reliable work ethic.
• Comfortable with ambiguity and able to manage a high volume of competing priorities.
• Maintains the highest level of confidentiality.

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: Click the Apply for This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.com.