Senior Compliance Analyst - Wealth Management Oversight

Wellington-Altus Private Wealth Inc.; Toronto; On-site; CAD 65,000 - 80,000; Full time

Benefits offered by this job

Health insurance

Accident and life insurance

Other location perks

Job summary

Wellington-Altus Private Wealth Inc. in Toronto is seeking a Senior Compliance Analyst to lead supervisory activities and support compliance reviews across the organization.

The role requires collaboration with stakeholders, training of analysts, and resolving compliance issues while staying current with regulatory expectations. Strong attention to detail and communication skills are essential.

Qualifications

• Bachelor’s degree or equivalent in business administration, finance, or related field.
• 2–5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.
• Supervisory experience is a strong asset.
• Wealth management or other regulated industry experience is a strong asset.
• Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.
• Proficiency with MS Office (Word, Excel, PowerPoint, Teams, Outlook).
• Demonstrates accountability, adaptability and innovation in day-to-day and long-term goals.
• Strong attention to detail and excellent communication across mediums.

Responsibilities

• Perform supervision duties, including reviews of business activities and higher-risk accounts.
• Improve and maintain Tier 2 processes and workflows.
• Assist with training and onboarding of analysts and new team members.
• Provide guidance on compliance requirements and regulatory expectations.
• Resolve compliance-related issues and respond to inquiries about firm policies.
• Participate in internal and external regulatory reviews and audits.
• Stay informed on regulatory changes and participate in training.

Skills

MS Office

Communication skills

Problem solving

Attention to detail

Organizational skills

Confidentiality

Interpersonal skills

Adaptability

Accountability

Education

Bachelor’s degree in business administration, finance, or similar field

Tools

CIRO Dealer Member experience

Bank experience

Job description

Wellington-Altus Private Wealth Inc. in Toronto is seeking a Senior Compliance Analyst to lead supervisory activities and support compliance reviews across the organization.

The role requires collaboration with stakeholders, training of analysts, and resolving compliance issues while staying current with regulatory expectations. Strong attention to detail and communication skills are essential.