Compliance Analyst

Compliance Analyst, WAPC and WAUSA

Location: This posting is for an existing vacancy in Wellington-Altus’s Winnipeg, Toronto, Burlington or Vancouver 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 AVP, Compliance, WAPC/WAUSA, the Compliance Analyst, is responsible for providing primary compliance support to Wellington-Altus Private Counsel (“WAPC”) (provincially regulated PM and IFM) and Wellington-Altus USA (“WAUSA”), an SEC Registered Investment Adviser. This role ensures an efficient and effective compliance program for WAPC and WAUSA to help these firms and its associates continue to adhere to all regulatory requirements, industry rules plus internal policies and procedures.

Key responsibilities include:

• Monitoring and Reviews Perform regulatory reviews of managed account opening and updating documents. Complete reviews related to account and model suitability, investment consistency, trading activity, advisor compensation etc., and conduct follow up and information requests with advisors as needed. Review outside business activities, global relay, personal trade monitoring as well as pledge accounts, referral arrangements, and third-party deposits/payments. Monitor higher risk accounts and assist with preparing suspicious transaction reports when appropriate. Collaborate with Supervisors, Branch Audit, the Trade Desk, and the Managed Accounts Committee as required.
• Compliance Program
• Provide guidance and support to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations. Assist with resolving compliance-related issues. Serve 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. Support the development, maintenance, and documentation of Compliance Programs for WAUSA and WAPC. Identify and escalate opportunities to strengthen compliance controls or processes.
• Education & Training Stay informed on relevant regulations, industry rules, internal policies, and market or firm updates. Assist with updating policies, procedures, and supervisory guidance documents. Help prepare communication materials (e.g., bulletins, newsletters, presentations). Provide timely support and guidance to advisor teams by responding to daily inquiries
• Special Projects & Assignments Support compliance-related projects and firm‑wide initiatives. Conduct regulatory research as assigned. Assist with reviewing and updating policies and procedures. Perform trend analysis to identify risks and propose mitigation controls. Complete other duties as assigned by the VP or Compliance leadership.

The ideal candidate will possess:

• A bachelor’s degree in business, finance, economics, or a similar field of study.
• Minimum 2 years, up to 5 years (preferred) of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.
• Experience in a Tier 2 supervisory role is a strong asset.
• Experience in wealth management or other regulated industry is a strong asset.
• Familiarity with the regulatory requirements for provincially regulated PMs and SEC RIAs.
• 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.
• Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
• 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.

Compensation & Benefits:

Range $60,000 - $77,000 annually.

This range represents Wellington-Altus's expected range of compensation for this position. Actual compensation will vary and will be based on various factors, such as location, skills, experience, and qualification for the role. Compensation for part-time roles will be pro-rated based on number of hours regularly worked.

Wellington-Altus's total compensation package for employees may also include discretionary bonuses as well as other perks and rewards. Wellington-Altus also offers health insurance, accident and life insurance, and other unique benefits per location.

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.