Compliance Systems Analyst

Compliance Systems Analyst

Location : This in-office position will be based out of our Winnipeg 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 $30 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 Associate Vice-President, Compliance Strategic Initiatives, the Compliance, Systems Analyst will be the systems expert for the Compliance Team supporting their tools, including those used for communications monitoring (email / social / text), trading supervision and internal databases.

The incumbent will leverage technology to enhance the effectiveness of Supervisors, ensuring processes are more accurate, cost-effective, and scalable.

The Compliance, Systems Analyst will also maintain the Compliance System, including implementing improvements, ensuring data quality, and analyzing and reporting on the data.

The incumbent will translate business objectives into system requirements to optimize processes, improve efficiency and enhance the user experience, and will also play a critical role in ensuring that the organization adheres to all regulatory requirements and internal policies.

Key responsibilities include :

• Optimizing technology usage to enhance efficiency and drive improvements in daily technology practices to support scalable growth within the organization.
• Managing migration by supporting a comprehensive project plan.
• Ensuring the integrity of the digital compliance framework by overseeing data flows, documenting processes, and ensuring adherence to legal requirements.
• Analyzing Compliance’s systems through change management and day-to-day support, interpreting compliance-related data to identify trends, gaps, and areas for improvement.
• Keeping current with regulatory changes and industry best practices.
• Conducting risk assessments to identify potential compliance risks, manage compliance-related data, and develop strategies to mitigate these risks while supporting the implementation of effective risk management measures.
• Supporting internal and external audits by providing necessary documentation and evidence.
• Assisting in addressing audit findings and implementing corrective actions.
• Maintaining and supporting Compliance technology systems & tools, including troubleshooting and problem resolution.
• Being responsible to thoroughly understand and communicate stakeholder requirements and distributing relevant information, documentation and artifacts to project stakeholders.
• Assisting with the controls and documentation in relation to the release and implementation of any new functionality, or changes to current Compliance configuration.
• Ensuring modifications and upgrades are successfully tested before implementation to the production environment.
• Coordinating, testing and implementing mass data changes to the Compliance system.
• Representing Compliance from a system and business process perspective on various teams.
• Planning, arranging and in some instances, providing training for staff as needed on the use of the Compliance system;

including initial training for new users, training on new processes or training to groups on specific functionality.

• Writing reports, correspondence, policies, testing and document other Compliance applications.
• Ensuring the Compliance system processes meet the needs of the organization, employees, Advisors and other stakeholders through researching best practices and promoting continuous improvement.
• Working with the appropriate business partners to formulate recommendations and strategies for process improvements and create optimal Compliance solution designed to meet business objectives.
• Performing other duties as assigned.

The ideal candidate will possess :

• A bachelor’s degree in business administration, finance, accounting, or a related field.
• Industry courses such as CSC & Supervisors Course would be considered assets.
• A minimum 3 years’ experience working with technology tools in a compliance or regulatory environment.
• Experience collaborating with IT partners to effectively implement and manage technology solutions.
• Experience with data analysis and risk management is highly desirable.
• Knowledge of the financial services industry, CIRO and provincial securities regulators.
• Proficiency in analysis tools and software (e.g., SQL, Power BI).
• Proficiency with the MSOffice suite, including Word, PowerPoint, Teams & Outlook.
• Familiarity with compliance systems and tools for supervision & communications monitoring.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• An ability to manage multiple priorities and work effectively under pressure.
• High attention to detail and accuracy.
• Strong ethical standards and integrity.
• An ability to work independently.
• An ability to work collaboratively within a team.
• A proactive approach and a strong commitment to continuous improvement.

Conditions of employment :

• Must be legally eligible to work in Canada.
• Must be able to travel within Canada 0-3% of the time.
• 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 :