Compliance Analyst, Group Audit

Compliance Analyst, Group Audit
Location: This posting is for an existing vacancy in Wellington-Altus’ 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 over $45 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, Group Audit and Conduct, the Compliance Analyst, Group Audit, will conduct the Compliance Audit Review Program for the entirety of all WAFI subsidiaries. The role requires an analytical mindset with exceptional attention to detail, experience in the financial services industry, and familiarity with investment products and services; knowledge of CIRO/IIROC regulations and industry best practices is considered an asset.
Key Responsibilities Include:
Audits & Reporting
• Conducting comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
• Preparing audit reports in a timely manner following the completion of branch audits.
• Supporting the collection of data for compliance-related and/or regulatory requests.
• Preparing reports, as requested, for use by the Compliance department.
Client Relationship Management & Risk Mitigation
• Scheduling interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
• Fostering strong relationships with advisors during the branch audit process.
• Identifying trends or key risks/themes for training or recommendations for policy changes.
Cross-Functional Collaboration & Process Improvements
• Remaining informed of regulatory developments and changes to internal policies and procedures.
• Participating in other compliance and supervision-related projects and initiatives as assigned.
• Assisting in implementing new processes or amending current ones to ensure regulatory requirements are met.
• Performing other duties as assigned.
The Ideal Candidate Will Possess:
• Bachelor’s degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
• Completion of CSC, CPH or CIRE preferred.
• Experience in the financial services industry.
• 2-3 years’ financial services industry experience working in a high-growth environment.
• Proficiency with the MS Office (ie. Word, Excel, PowerPoint, Teams), and knowledge of advanced Excel functions (ie. VLOOKUP, pivot tables, etc.).
• Demonstrated analytical, organizational, and problem-solving skills.
• Ability to work independently with minimal supervision and collaboratively as part of a team.
• Strong organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information.
• Ability to build and maintain professional relationships (e.g., with advisors and other compliance staff).
• Excellent verbal and written communication skills.
• Strong attention to detail and ability to identify and escalate issues promptly.
• Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm.
• 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.
Compensation & Benefits:
Range $52,000 - $68,000 annually.
This range represents Wellington-Altus' 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' 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.
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. Artificial Intelligence (AI) will be used to screen and assess candidates for this role. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.com.