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About the Role

Provides senior leadership and subject matter expertise to strengthen the firm’s Compliance program, focusing on controls, trend analysis, and enterprise risk assessment. Accountable for maintaining a strong control environment, ensuring regulatory compliance, and enhancing supervision programs.

Responsibilities

• Provide senior level oversight of supervision activities, including review and approval frameworks for trade alerts, exception reports, account openings, and KYC documentation.
• Lead the development and maturation of the Tier 2 Compliance program.
• Drive continuous improvement initiatives to enhance the effectiveness, efficiency, and consistency of Compliance supervision activities.
• Lead the design, implementation, and ongoing maintenance of managed account supervision programs and related procedures to ensure regulatory compliance.
• Identify regulatory trends, emerging risks, and control gaps, and proactively recommend enhancements to the firm’s compliance and supervision framework.
• Act as a senior representative in internal compliance reviews and external regulatory examinations and audits conducted at both Head Office and branch locations.
• Serve as a trusted advisor to registrants and business leaders on managed account and advisory supervision matters.
• Educate and guide registrants on evolving regulatory requirements, expectations, and best practices.
• Build and maintain strong, collaborative relationships with Supervision, Legal, Risk, Operations, Advisory, and Business Leadership teams.
• Promote and reinforce a strong, enterprise wide culture of compliance, accountability, and ethical conduct.
• Lead and contribute to enterprise initiatives and strategic projects related to compliance, supervision, advisory oversight, and regulatory change.

Requirements

• Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
• Prior registration and completion of recognized financial designations (e.g., CFA, CIM) and courses are considered assets.
• Demonstrated knowledge of securities regulations and client conduct standards is highly valued.
• Minimum of 10+ years’ financial services experience, preferably all of which working for a Dealer Member in the Compliance capacity.
• In-depth knowledge of the financial services industry, including understanding of regulatory requirements of CIRO, securities commissions and the SEC as well as other regulators.
• 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.
• Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
• 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.
• Strong organizational skills and attention to detail with the ability to prioritize effectively, handle multiple tasks and handle stress in a fast-paced environment.
• Proven analytical and problem-solving skills.
• 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.
• Ability to travel for business trips, up to 1–3% of the time.

Skills

• Compliance
• Controls
• Trend analysis
• Enterprise risk assessment
• Regulatory compliance
• Supervision programs
• MS Office suite
• Word
• Excel
• PowerPoint
• Teams
• Outlook
• Interpersonal skills
• Influencing skills
• Communication skills
• Critical thinking
• Organizational skills
• Analytical skills
• Problem-solving skills

Location

• Toronto

Work Type

• Onsite

Experience Level

• 10+ years

Education Level

• Bachelor's degree in business administration, finance, or similar field of study
• Equivalent combination of education and experience
• Recognized financial designations (e.g., CFA, CIM) and courses are considered assets

Salary/Compensations

• $122,000 - $172,000 annually

Benefits

• Health insurance
• Accident insurance
• Life insurance
• Other unique benefits per location
• Discretionary bonuses
• Perks and rewards

About the Company

• 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 over $45 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.

Equal Opportunity

• 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.