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About the Role

The Compliance Analyst, Group Audit, will conduct the Compliance Audit Review Program for all WAFI subsidiaries. The role requires an analytical mindset with exceptional attention to detail, experience in the financial services industry, and familiarity with investment products and services. Knowledge of CIRO/IIROC regulations and industry best practices is considered an asset.

Responsibilities

• Conducting comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
• Preparing audit reports in a timely manner following the completion of branch audits.
• Supporting the collection of data for compliance-related and/or regulatory requests.
• Preparing reports, as requested, for use by the Compliance department.
• Scheduling interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
• Fostering strong relationships with advisors during the branch audit process.
• Identifying trends or key risks/themes for training or recommendations for policy changes.
• Remaining informed of regulatory developments and changes to internal policies and procedures.
• Participating in other compliance and supervision-related projects and initiatives as assigned.
• Assisting in implementing new processes or amending current ones to ensure regulatory requirements are met.
• Performing other duties as assigned.

Requirements

• Bachelor’s degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
• Completion of CSC, CPH or CIRE preferred.
• Experience in the financial services industry.
• 2-3 years’ financial services industry experience working in a high-growth environment.
• Proficiency with the MS Office (ie. Word, Excel, PowerPoint, Teams), and knowledge of advanced Excel functions (ie. VLOOKUP, pivot tables, etc.).
• Demonstrated analytical, organizational, and problem-solving skills.
• Ability to work independently with minimal supervision and collaboratively as part of a team.
• Strong organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information.
• Ability to build and maintain professional relationships (e.g., with advisors and other compliance staff).
• Excellent verbal and written communication skills.
• Strong attention to detail and ability to identify and escalate issues promptly.
• Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm.
• 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.
• 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.

Skills

• MS Office proficiency
• Advanced Excel functions (VLOOKUP, pivot tables)
• Analytical skills
• Organizational skills
• Problem-solving skills
• Independent work
• Team collaboration
• Relationship building
• Verbal communication
• Written communication
• Attention to detail
• Interpersonal skills
• Influencing skills
• Adaptability

Location

• Calgary
• Toronto

Work Type

• Full-time

Experience Level

• 2-3 years

Education Level

• Bachelor's degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
• Completion of CSC, CPH or CIRE preferred.

Salary/Compensations

• $52,000 - $68,000 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.