Compliance and Supervision Analyst
Location : This in-office position will be based out of our Winnipeg or Toronto office.
Type : This is a Full-Time, 12-months Term position.
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, Supervision, the Compliance and Supervision Analyst will support the Tier 1 Supervision Managers with the Supervision program.
The incumbent’s daily tasks will provide holistic compliance supervision support including; reviewing daily trading activities, reviewing marketing materials, and ongoing monitoring research.
The Compliance and Supervision Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.
Key responsibilities include :
- As assigned, conducting Tier 1 supervision activities, including reviewing and approving daily, monthly, and quarterly trade reports.
- Following up on supervision queries, marketing reviews, and monitoring social media.
- Assisting registrants of the firm in resolving compliance issues with respect to regulatory guidelines interpretation and with inquiries relating to acceptance of unique or exceptional situations.
- Participating in internal compliance reviews and external regulator reviews as required.
- Supporting with Tier 2 Supervision Duties as required.
- Actively looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision.
- Continually looking for ways to improve the efficiency and effectiveness of the firm’s system of compliance and supervision.
- Maintaining knowledge of policy and procedure changes within the firm and industry.
- Participating in other compliance and supervision-related projects and initiatives as assigned.
- Performing other duties as assigned
The ideal candidate will possess :
- A bachelor’s degree in business administration, economics, or similar field of study.
- A minimum of 2-5 years of progressive experience with a CIRO Dealer Member or bank.
- An ability to be registered as a Supervisor with CIRO is considered an asset.
- Experience in the wealth management or other regulated industry is a strong asset.
- A CSC, CPH, and Investment Dealers Supervisors Course would be considered an asset.
- Knowledge of the financial services industry, the Canadian regulatory framework, provincial securities legislation, and the regulatory requirements of CIRO and the provincial securities regulators.
- Proficiency with the MSOffice suite, including Word, Excel, Powerpoint, Teams, and Outlook.
- 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.
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 :
Business Analyst – Data Compliance & SQL
Proven experience working closely with business teams to understand their needs, gather detailed requirements, and ensure alignment with business objectives and technical solutions. Experience in data governance, data privacy regulations, and compliance standards. Job Title: Business Analyst – Data ...
Analyst (Tech Risk Control & Compliance)
Ensures adherence to the client's policies and controls associated to governance & oversight of assets supporting BMT app/tool/service, including integration and mapping of BMT apps/services to asset management practices, quality of BMT asset records within the Asset Management Repository, independe...
Compliance and Supervision Analyst
Reporting to the Associate Vice-President, Supervision, the Compliance and Supervision Analyst will support the Tier 1 Supervision Managers with the Supervision program. Compliance and Supervision Analyst. The Compliance and Supervision Analyst will interact with a variety of stakeholders across the...
Governance & Controls, and Compliance Analyst Tester - 81549-1
Governance & Controls, and Compliance Analyst Tester. The incumbent will be a collaborative, hands-on consultant in dealing with key partners on risks, key controls, non-key controls and/or deficiencies related to existing Processes, Policies and other Initiatives. Job Title: Professional - Professi...
Senior Analyst, Risk and SOX Compliance
Perform management testing for SOX engagements based in North America and prepare working papers in accordance with SOX and audit standards and internal audit procedures. Planning and executing controls testing for assessing the design and operating effectiveness of internal controls, including coor...
IT Audit & Compliance Analyst
Aid with the internal PCI compliance initiatives and ensure annual PCI service provider and merchant compliance is achieved. Maintaining the corporate policy, standard and procedure framework as it relates to security, information handling, identity management and technology. Assist with 3rd party a...
Senior Analyst, Global Compliance & AML Governance
Actively pursue effective and efficient operations of their respective areas in accordance with Scotiabank’s Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to op...
IT Audit Analyst (Risk & Compliance)
This temporary role within the Technology Controls Office (TCO) requires a skilled professional to guide IT processes and control discussions, draft process descriptions, and ensure compliance with standard requirements. We are looking for an experienced IT Audit Analyst specializing in risk and com...
Senior Analyst, Data Management & Compliance
The successful candidate will work closely with and in support of the Portfolio Management and Risk Management teams and is required to interact with various custodians, counterparties, and other outsourcing providers to ensure all components of the product life cycle are monitored, complete and acc...
Security Analyst, Governance, Risk & Compliance (GRC)
Participate in regular audits and assessments to ensure compliance with regulatory requirements, industry standards, and internal policies. This role is ideal for entry-to-intermediate level candidates in the security, governance, risk and compliance space. That’s why we put the power and flexibilit...