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 :
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...
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...
Remote Bilingual Privacy & Compliance Analyst
The NTT Data Privacy & Compliance Analyst will be part of the team responsible for privacy & compliance functions within NTT Data a significant component of the job will include performing risk control matrix testing, compliance and privacy incident reporting as well as conducting compliance reviews...
Financial Analyst - Open Until Filled
Duties: Mid level financial roles in government within a variety of departments, duties may include coordinating the estimates process including budget preparation, planning as well as budgetary operational control; financial management and control, including analysis, managing financial systems and...
Governance, Risk & Compliance Manager
As a Compliance Manager on the Governance, Risk & Compliance team, you will play a crucial role in building Compliance across our product set. As a Compliance Manager at Dropbox, you will join a growing team to design, implement, and coordinate programs to promote user trust and manage risks to thei...
CBCO - Centralized Branch Compliance Officer - Bilingual (French / English)
Employee must have worked as a representative, business partner, director, officer or registered securities compliance officer for at least two years or have at least two years of equivalent experience. Certification Branch Compliance Officer (BCO) - mandatory / passed prior to employment. AML, comp...
Senior Financial Analyst
The Senior Financial Analyst will assist in furthering the analytics agenda for the Specialized Accounting group with a strong focus on detailed variance analysis, creating and maintaining reporting and influencing people in the organization to drive behavioral change with the implementation of our ...
Senior Financial Analyst - Within Eastern Time Zone
Senior Financial Analyst - Within Eastern Time Zone. As an industry leader focused on driving growth and execution excellence, we are looking for a Senior Financial Analyst to join our growing Finance team. Reporting to the Financial Reporting Manager. Visual Manufacturing, Global Financials and Pow...
ANALYSTE FINANCIER (FINANCIÈRE) – COMPTABILITÉ DE GESTION / Financial Analyst – Management Accounting
ANALYSTE FINANCIER (FINANCIÈRE) – COMPTABILITÉ DE GESTION / Financial Analyst – Management Accounting. Prepare end-of-period analysis and support the Financial Analyst - Finance in the end-of-period process;. Préparer les analyses de fins de périodes et appuyer l’Analyste financier – Finance dans le...
Product Manager and Lead Auditor, Aviation Compliance (ARGUS)
The Product Manager & Leader Auditor for Aviation Compliance is responsible for pursuing and maintaining technical qualifications for the Flight Safety Foundation Basic Aviation Risk Standard (BARS) program. In addition to managing the BARS SGS accreditation, Aviation Compliance provides aviation sa...