Supervisor

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

Location: This posting is for an existing vacancy in Wellington-Altus’s Toronto or Calgary office.

Our Organization

Founded in 2017, Wellington-Altus Private Wealth Inc. (Wellington-Altus) is Canada's top-rated* investment dealer and a subsidiary of Wellington-Altus Financial Inc., one of Canada’s Top Growing Companies**. With more than $55 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors, and their high-net-worth clients.

• Investment Executive 2026 Brokerage Report Card.
• Report on Business 2026 rankings.

The Opportunity

Reporting to the Associate Vice-President, Supervision, the Supervisor will be responsible for the supervision of WAPW activities to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures. This position requires registration with the Canadian Investment Regulatory Organization (CIRO) of Canada.

Key Responsibilities Include

Tier 1 Supervision & Risk Management:

• Conducting due diligence on Tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports; review NCAFs/KYC updates (including managed accounts); and assess and approve OM submissions.
• Providing guidance and resolution related to compliance matters.
• Participating in internal compliance reviews and/or external regulator reviews.
• Assisting Advisor teams in resolving inquiries and addressing compliance issues quickly and accurately.

Training & Cross-Functional Collaboration:

• Educating Registrants on compliance obligations and provide ongoing support regarding supervision and regulatory requirements.
• Fostering strong, collaborative working relationships across Compliance, Supervision, Advisor teams, and corporate departments to promote a robust culture of compliance.
• Participating in other compliance and supervision-related projects and initiatives as needed.

Process & Policy Improvements:

• Staying informed of regulatory changes and maintain a strong understanding of internal policy and procedure updates within the firm and across the industry.
• Identify opportunities to enhance the efficiency and effectiveness of the firm’s compliance and supervision systems.
• Contributing to the continuous improvement of processes, ensuring alignment with CIRO rules and provincial securities legislation.

The Ideal Candidate Will Possess

• Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
• A minimum of 5 years of progressive experience with a CIRO member dealer, including 2 years in a compliance or supervisory role.
• CIRO registration as a Supervisor.
• Designation as Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA).
• Proficiency in the French language would be considered an asset.
• Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
• Proficiency with the MS Office 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.
• Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
• A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
• Strong critical thinking and written and verbal communication skills.
• An ability to maintain the highest levels of confidentiality.

Compensation & Benefits

Range $80,000.00 - $120,000.00 annually.

This range represents Wellington-Altus's 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.

Wellington-Altus's 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.
• Must be able to travel anywhere in Canada up to 0 - 20% of the time.
• 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.