Compliance and Supervision Analyst

Wellington-Altus; Toronto; On-site; CAD 60,000 - 85,000; Full time

Job summary

Wellington-Altus is seeking a Compliance and Supervision Analyst to support regulatory supervision in investment compliance. The role involves reviewing daily trading activities and interacting with various stakeholders while ensuring adherence to industry regulations. The ideal candidate will have a bachelor's degree and substantial experience in a regulated financial environment.

Qualifications

• 2-5 years of experience with a CIRO Dealer Member or bank.
• Ability to be registered as a Supervisor with CIRO is an asset.
• Knowledge of Canadian regulatory framework is essential.

Responsibilities

• Conducting Tier 1 supervision activities and reviewing trade reports.
• Assist with compliance issues and participate in compliance reviews.
• Improve efficiency of compliance and supervision systems.

Skills

Analytical skills

Problem-solving

Communication

Organizational skills

Education

Bachelor’s degree in business administration or economics

Tools

MS Office Suite

Job description

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.