Senior Compliance Analyst

Location: This posting is for an existing vacancy in Wellington-Altus’s 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.

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 include 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

• Monitor email communications and social media for regulator risks to identify red flags or unusual activity.
• Perform Tier 2 supervision duties assigned, which may include more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process.
• Improve, develop, and maintain Tier 2 processes and workflows.
• Assist with training and provide support to analysts and newly onboard team members on protocols and procedures.
• 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 conducted at Head Office or branches.
• Compliance Reviews
  • 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.
• Policy Awareness and Ongoing Learning
  • 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.

The ideal candidate will possess

• 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.
• Experience in a Tier 2 supervisory role is a strong asset.
• Experience in wealth management or other regulated industry is a strong asset.
• Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered 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.

Range $60,000.00 to $75,000.00 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.

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