Senior Compliance Specialist

Wellington-Altus Private Wealth Inc.; Calgary; On-site; CAD 80,000 - 100,000; Full time

Benefits offered by this job

Health insurance

Employee benefits per location

Career progression opportunities

Job summary

Wellington-Altus Private Wealth Inc. seeks a Senior Compliance Specialist to develop testing programs, train staff, and ensure adherence to regulatory standards.

You will lead change management, monitor outcomes, and provide ongoing coaching to the team across multiple lines of defense in Canada. The role emphasizes building robust controls, updating processes for regulatory changes, and collaborating with Legal, Risk, Operations, and IT to drive improvements in compliance and risk management.

Qualifications

• Coaching, training, and testing skills.
• Excellent communication and interpersonal skills.
• Ability to manage multiple priorities and work under pressure.
• High attention to detail and accuracy.
• Strong ethical standards and integrity.
• Ability to work independently and in a team.
• Proficiency with Power BI and MS Office.
• Bachelor’s degree in business administration, finance, accounting, or related field.
• Industry courses such as CSC are assets.
• Minimum of 3 years in a compliance or regulatory environment.
• Experience collaborating with IT partners to implement technology solutions.
• Experience in data analysis and risk management.
• Knowledge of financial services, CIRO and regulators.

Responsibilities

• Design targeted training programs supporting compliance and supervision objectives.
• Develop and deliver training content with clear, relevant materials.
• Monitor training effectiveness using qualitative and quantitative metrics.
• Provide coaching and mentorship to compliance staff.
• Review and enhance compliance processes to close gaps.
• Recommend changes to strengthen controls and risk mitigation.
• Establish internal controls to ensure regulatory adherence.
• Stay current with evolving regulations and industry best practices.
• Communicate regulatory changes across the organization.
• Analyze compliance data to identify trends and issues.
• Collaborate with Legal, Risk, Operations, and IT on improvements.

Skills

Coaching

Training

Testing skills

Communication

Power BI

MS Office

Independent work

Team collaboration

Education

Bachelor’s degree in business administration, finance, accounting, or related field

Tools

Power BI

MS Excel

MS Word

Job description

Location: This position will be based in our Calgary or Toronto corporate office locations.

Our organization:

Founded in 2017, Wellington-Altus Financial Inc. (Wellington-Altus) is one of Canada’s Top Growing Companies* and 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. With more than $50 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.

*Report on Business 2025 rankings.

**Investment Executive 2026 Brokerage Report Card.

The opportunity:

Reporting to the AVP Supervision, the Senior Compliance Specialist will be responsible for developing an ongoing testing program of the Compliance Supervision duties and conducting training where needed to ensure staff are performing at the same standards for each process.

This role is critical in ensuring that the Compliance team adheres to regulatory requirements and internal policies. This position will analyze and support Compliance’s programs through change management, day-to-day support and implementation.

Key responsibilities include:

• Assessing and addressing training needs by designing targeted programs that support compliance and supervision objectives, including a robust quality control framework aligned with Tier 1 Supervision duties.
• Developing and delivering training content through customized materials and interactive sessions, ensuring clarity, relevance, and alignment with regulatory expectations and firm standards.
• Monitoring and evaluating training effectiveness using qualitative and quantitative metrics. Providing regular reporting and insights to stakeholders to inform continuous improvement and strategic decision-making.
• Providing ongoing coaching and mentorship to compliance team members, focusing on consistent delivery of reviews that meet the firm’s standards and regulatory requirements.
• Reviewing and enhancing compliance processes to identify inefficiencies, gaps, and opportunities for improvement.
• Recommending and implementing changes that strengthen operational integrity and risk mitigation.
• Establishing and maintaining internal controls to ensure adherence to applicable regulatory requirements and internal policies, supporting a culture of accountability and compliance.
• Staying informed on evolving regulations and industry best practices, proactively updating the compliance framework to reflect changes and maintain its effectiveness and relevance.
• Communicating regulatory changes and operational impacts across the organization, ensuring teams are prepared and aligned with new requirements through timely updates and process adjustments.
• Analyzing compliance data and trends to uncover insights, identifying systemic issues, and recommending strategic improvements that enhance oversight and reduce risk exposure.
• Maintaining a strong understanding of the CIRO requirements of the Compliance Supervision Program.
• Conducting compliance risk assessments and developing strategies to mitigate identified risks.
• Supporting the implementation of risk management measures.
• Staying current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
• Assessing and enhancing compliance frameworks
• Conducting thorough evaluations of existing compliance and supervision processes to identify inefficiencies, gaps, and areas for improvement.
• Developing actionable recommendations to strengthen regulatory adherence and operational effectiveness.
• Leading across Legal, Risk, Operations, and Technology to design and embed process enhancements. Ensuring alignment with regulatory expectations and internal governance standards while promoting sustainable adoption.
• Driving strategic compliance initiatives: Actively contributing to enterprise-wide projects and initiatives related to compliance, supervision, and risk management. Providing subject matter expertise and leadership to ensure initiatives are executed with integrity and precision.
• Championing continuous improvement: Partnering with internal stakeholders to identify opportunities for innovation in compliance practices. Facilitating workshops, feedback loops, and pilot programs to test and refine new approaches.
• Strengthening stakeholder relationships: Foster strong, cooperative partnerships with key internal stakeholders—including senior leadership, business units, and control functions to ensure transparency, accountability and shared ownership of compliance outcome

The ideal candidate will possess:

• Coaching, training, and testing skills
• Excellent communication and interpersonal skills.
• Ability to manage multiple priorities and work effectively under pressure.
• High attention to detail and accuracy.
• Strong ethical standards and integrity.
• Ability to work independently.
• Ability to work collaboratively within a team.
• Proactive approach and a strong commitment to continuous improvement.
• Proficiency in analysis tools and software (e.g. Power BI).
• Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Familiar with compliance systems and tools for supervision & communications monitoring
• Bachelor’s degree in business administration, finance, accounting, or a related field would be an asset.
• Industry courses such as CSC would be considered assets.
• Minimum of 3 years of experience in a compliance or regulatory environment would be ideal.
• Experience collaborating with IT partners to effectively implement and manage technology solutions is an asset.
• Experience in data analysis and risk management is highly desirable.
• Knowledge of the financial services industry, CIRO and provincial securities regulators.

Range $80,000 - $100,000 annually.

This range represents Wellington-Altus' expected range of compensation for this position. Actual compensation will vary and will be based on various factors, such as location, skills, experience, and qualification for the role. Compensation for part-time roles will be pro-rated based on number of hours regularly worked.

Benefits and Compensation:

• Wellington-Altus' total compensation package for employees may also include discretionary bonuses as well as other perks and rewards.
• Wellington-Altus also offers health insurance, accident and life insurance, and other unique benefits per location.

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.
• Must be able to travel up to 5% of the time.

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.