Senior Compliance Supervisor – Private Wealth (CIRO)

Wellington-Altus; Calgary; On-site; CAD 80,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Accident and life insurance

Job summary

Wellington-Altus Private Wealth seeks a seasoned Supervisor to oversee Tier 1 supervision and risk management, ensuring CIRO compliance across registrants. The role requires CIRO Supervisor registration and industry designations such as CIM or CFA, with a strong focus on policy adherence and cross-functional collaboration.

Ideal candidates have 5+ years with a CIRO member dealer (2+ in supervision), excellent communication, and strong analytical skills.

Qualifications

• Bachelor's degree in business administration, finance, or similar field
• CIRO registration as Supervisor
• CIM or CFA designation
• 5+ years of progressive CIRO-registered experience, including 2 years in a supervisory role
• French language proficiency is a plus
• Knowledge of CIRO rules and provincial securities legislation
• Strong written and verbal communication skills
• Ability to manage multiple priorities with high confidentiality

Responsibilities

• Tier 1 supervision and risk management: review/approve daily, monthly, quarterly trade reports; assess OM submissions.
• Provide guidance and resolution on compliance matters and support regulator reviews.
• Educate registrants on compliance obligations; foster cross-functional collaboration across Compliance, Supervision, Advisors, and Corporate teams.
• Identify opportunities to enhance policies and supervision processes for CIRO alignment

Skills

Strong communication

Analytical thinking

Problem-solving

Attention to detail

Organizational skills

Multitasking

Discretion/confidentiality

Team collaboration

Education

Bachelor's degree in business administration/finance

CIRO Supervisor registration

CIM designation

CFA designation

Tools

MS Office Suite (Word, Excel, PowerPoint, Teams, Outlook)

Job description

Wellington-Altus Private Wealth seeks a seasoned Supervisor to oversee Tier 1 supervision and risk management, ensuring CIRO compliance across registrants. The role requires CIRO Supervisor registration and industry designations such as CIM or CFA, with a strong focus on policy adherence and cross-functional collaboration.

Ideal candidates have 5+ years with a CIRO member dealer (2+ in supervision), excellent communication, and strong analytical skills.