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About the Role

The Compliance Analyst provides primary compliance support to Wellington-Altus Private Counsel (“WAPC”) and Wellington-Altus USA (“WAUSA”), ensuring an efficient and effective compliance program that adheres to all regulatory requirements, industry rules, and internal policies.

Responsibilities

• Perform regulatory reviews of managed account opening and updating documents.
• Complete reviews related to account and model suitability, investment consistency, trading activity, advisor compensation, and conduct follow-up and information requests with advisors.
• Review outside business activities, global relay, personal trade monitoring, pledge accounts, referral arrangements, and third-party deposits/payments.
• Monitor higher risk accounts and assist with preparing suspicious transaction reports.
• Collaborate with Supervisors, Branch Audit, the Trade Desk, and the Managed Accounts Committee.
• Provide guidance and support to registered individuals and firm staff on compliance requirements and regulatory expectations.
• Assist with resolving compliance-related issues.
• Serve as a trusted resource for inquiries related to firm policies, business practices, and regulatory interpretations.
• Participate in internal and external regulator reviews.
• Support the development, maintenance, and documentation of Compliance Programs for WAUSA and WAPC.
• Identify and escalate opportunities to strengthen compliance controls or processes.
• Stay informed on relevant regulations, industry rules, internal policies, and market or firm updates.
• Assist with updating policies, procedures, and supervisory guidance documents.
• Help prepare communication materials such as bulletins, newsletters, and presentations.
• Provide timely support and guidance to advisor teams by responding to daily inquiries.
• Support compliance-related projects and firm-wide initiatives.
• Conduct regulatory research as assigned.
• Assist with reviewing and updating policies and procedures.
• Perform trend analysis to identify risks and propose mitigation controls.
• Complete other duties as assigned by the VP or Compliance leadership.

Requirements

• Must be legally eligible to work in Canada.
• A background check, satisfactory to the employer, may be required.

Skills

• Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, Outlook.
• Demonstrate a high level of accountability, reliability, adaptability, and innovation.
• 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.

Location

• Winnipeg
• Toronto
• Burlington
• Vancouver

Work Type

• Onsite

Experience Level

• Investment Dealer or Portfolio Manager experience an asset.
• Experience in a Tier 2 supervisory role is a strong asset.
• Experience in wealth management or other regulated industry is a strong asset.

Education Level

• A bachelor’s degree in business, finance, economics, or a similar field of study.

Salary/Compensations

• $56,000 - $70,000 annually + Bonus

Benefits

• Health insurance
• Accident and life insurance
• Other unique benefits per location
• Discretionary bonuses

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.