Compliance Analyst

Location

This posting is for an existing vacancy in Wellington-Altus’s 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 Senior Manager, Compliance, the Compliance Analyst will be responsible for assisting our Tier 1 Supervision Managers with the Supervision program. Daily tasks will vary and will look to provide holistic compliance supervision support which may also include a review of Tier 2 Daily, Monthly, and Quarterly trading. The Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.

Key responsibilities include

Supervision Activities

Compliance Support to Registrants

Compliance Reviews

Participate in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes.

Policy Awareness and Ongoing Learning

The ideal candidate will possess

Range $47,000 - $60,000 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

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 .

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