Compliance Analyst, Branch Audit

Wellington-Altus Private Wealth Inc.; Toronto; On-site; CAD 60,000 - 80,000; Full time

Job summary

A prominent financial services firm in Toronto is seeking a Compliance Analyst to conduct branch audits and ensure adherence to regulatory standards. The ideal candidate should have 2-3 years of experience in the financial services industry, excellent analytical abilities, and proficiency in MS Office. This role offers an opportunity to contribute to the company's commitment to diversity and equity in the workplace.

Qualifications

• 2-3 years’ experience in financial services industry in a high growth environment.
• Completion of CSC or CPH preferred.
• Knowledge of CIRO/IIROC regulations would be an asset.

Responsibilities

• Conduct audits of branches according to regulatory requirements.
• Prepare branch audit reports following audits.
• Identify key risks for training or policy recommendations.

Skills

Analytical mindset

Attention to detail

Interpersonal skills

Organizational skills

Written communication skills

Education

University/Post-Secondary education in business, finance, accounting

Tools

MS Office (Word, Excel, PowerPoint)

Advanced MS Excel functions

Job description

Overview

Compliance Analyst, Branch Audit

Location: This in-office position will be based out of our Calgary or Toronto office.

The 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 Associate Vice-President, Audit and Conduct, the Compliance Analyst, Branch Audit will conduct the Compliance Branch Audit Review Program. The ideal successful candidate will possess an analytical mindset with exceptional attention to detail, previous experience in the financial services industry, and familiarity with investment products and services. Knowledge of CIRO/IIROC regulations and industry best practices would be considered an asset.

Responsibilities

• Conducting comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
• Scheduling interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
• Preparing branch audit reports in a timely manner following the completion of branch audits.
• Assisting in implementing new processes or amending current ones to ensure regulatory requirements are being met.
• Fostering strong relationships with advisors during the branch audit process.
• Keeping apprised of regulatory developments and changes to internal policies and procedures.
• Supporting the collection of data for compliance-related and/or regulatory requests.
• Identifying trends or key risks/themes for training or recommendations for policy changes.
• Preparing reports, as requested, for use by the Compliance Department.
• Participating in other compliance and supervision-related projects and initiatives as assigned.
• Performing other duties as assigned.

Qualifications

• University/Post-Secondary education in business, finance, accounting or a related field.
• 2-3 years’ financial services industry experience in a high growth environment (preferred).
• Experience in the financial services industry.
• Completion of CSC or CPH preferred.
• Proficient with MS Office (Word, Excel, PowerPoint), and some knowledge of advanced MS Excel functions (e.g., VLOOKUP, pivot tables).
• Demonstrated analytical, organizational, and problem-solving skills.
• Ability to work independently with minimal supervision and collaboratively as part of a team.
• Strong organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information.
• Ability to build and maintain professional relationships (e.g., with advisors and other compliance staff).
• Excellent verbal and written communication skills.
• Strong attention to detail and ability to identify and escalate issues in a timely manner.
• Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm.
• Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
• A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.

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

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.