Location: this in-office position will be located at our Toronto or Calgary office.

Our organization :

Founded in 2017, Wellington-Altus Financial (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., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 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 2025 Brokerage Report Card.

The opportunity: Reporting to the Associate Vice-President, Compliance Advisory Services, the Senior Supervisor, Managed Accounts, is registered with CIRO to supervise the activities of Portfolio Managers of WAPW with a focus on internal managed account platforms and business standards. The successful candidate will also play a key role in the oversight of WAPC and WAUSA.

Key responsibilities include:

• Conduct supervision activities focused on managed accounts including reviewing and approving trade alerts and reports, account opening, KYC and IPS updates.
• Manage the regulatory obligation of direct supervision over Associate Portfolio Managers to ensure they develop appropriate standards and systems as Portfolio Managers.
• Assist in the ongoing maintenance of a Portfolio Management Approval Process to vet internal candidates to determine if they properly qualify for firm sponsorship and meet the necessary requirements.
• Support the creation and maintenance of supervision programs (and related procedures) for managed accounts to ensure WAPW, WAPC and WAUSA remain compliant with requirements.
• Participate in internal compliance reviews or external regulator audits conducted at Head Office or the branches.
• Continually look for ways to improve the firm’s system of compliance and supervision.
• Educate and address ongoing compliance matters with registrants.
• Foster and maintain strong, collaborative relationships with internal stakeholders and promote a strong culture of compliance.
• Participating in other compliance and supervision-related projects and initiatives as needed.

The ideal candidate will possess:

• Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
• Successful completion of the proficiency requirements for a supervisor including Canadian Securities Course, Conduct and Practices Handbook, Branch Managers Course and/or IDSC, CFA or CIM.
• Minimum of 10+ years’ financial services experience, preferably all of which working for a Dealer Member or ICPM.
• In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO, securities commissions and the SEC as well as other regulators.
• Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
• Proficiency with the MS Office 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.
• Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
• A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
• Strong critical thinking and written and verbal communication skills.
• An ability to maintain the highest levels of confidentiality.
• Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple tasks and handle stress in a fast-paced environment.
• Proven analytical and problem-solving skills.

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.