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About the Role

The Senior Compliance Analyst will be responsible for completing Tier 2 supervisor functions and other assigned Compliance Analyst duties, providing holistic compliance supervision support including trading and communication surveillance.

Responsibilities

• Monitor email communications and social media for regulator risks to identify red flags or unusual activity.
• Perform Tier 2 supervision duties, including reviews of business activities, supervision of higher-risk accounts or representatives, and secondary oversight of Tier 1 processes.
• Improve, develop, and maintain Tier 2 processes and workflows.
• Assist with training and provide support to analysts and new team members on protocols and procedures.
• 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 compliance reviews and/or external regulator reviews.
• Participate in internal audits and compliance assessments, including thematic reviews, branch audits, or targeted testing.
• Support external regulatory reviews by preparing documentation, responding to requests, and assisting in implementing remediation.
• Maintain current understanding of internal policies, procedures, industry regulations, and compliance trends.
• Stay informed about regulatory changes and participate in training sessions or industry forums.
• Participate in other compliance and supervision-related projects and initiatives.

Requirements

• Bachelor’s degree in business administration, finance, or similar field, or equivalent combination of education and experience.
• Minimum of 2-5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance, or operations role.
• Experience in a Tier 2 supervisory role is a strong asset.
• Experience in wealth management or other regulated industry is a strong asset.
• Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.
• Proficiency with MS Office suite (Word, Excel, PowerPoint, Teams, Outlook).
• High level of accountability, adaptability, and innovation.
• Strong attention to detail.
• Excellent attitude and commitment to providing exceptional service.
• Exemplary interpersonal, influencing, and communication skills.
• Strong problem-solving and critical thinking abilities.
• Highly organized with a consistent and reliable work ethic.
• Comfortable with ambiguity and able to manage a high volume of competing priorities.
• Maintains the highest level of confidentiality.
• Must be legally eligible to work in Canada.
• A background check, satisfactory to the employer, may be required.

Skills

• MS Office suite
• Interpersonal skills
• Influencing skills
• Communication skills
• Problem-solving
• Critical thinking
• Organization
• Confidentiality

Location

• Toronto

Work Type

• Full-time

Experience Level

• Senior
• 2-5 years

Education Level

• Bachelor's degree

Salary/Compensations

• $60,000.00 to $75,000.00 annually

Benefits

• Health insurance
• Accident insurance
• Life insurance
• Discretionary bonuses
• Perks and rewards

About the Company

• Founded in 2017, Wellington-Altus Financial Inc. is the parent company to several subsidiaries including Wellington-Altus Private Wealth, the top-rated investment dealer in Canada.
• 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.
• Recognized as one of Canada’s Best Managed Companies.

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.