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About the Role

The Compliance, Systems Analyst will be the systems expert for the Compliance Team, supporting tools for communications monitoring, trading supervision, and internal databases. This role is critical for ensuring regulatory compliance and adherence to internal policies by analyzing and supporting compliance systems through change management, daily support, and implementation. The position will manage compliance data, identify risks, and develop mitigation strategies, shaping compliance tools to ensure regulatory adherence.

Responsibilities

• Maintain and support all compliance-related systems and tools, including user access, release updates, and the rollout of new or enhanced functionalities.
• Analyze compliance data to uncover trends, identify gaps, and recommend improvements. Prepare detailed reports and present actionable insights to stakeholders.
• Stay current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
• Evaluate existing compliance processes and identify opportunities for improvement. Collaborate with cross-functional teams to implement and embed enhancements.
• Conduct compliance risk assessments and develop strategies to mitigate identified risks. Support the implementation of risk management measures.
• Assist with internal and external audits by providing required documentation and addressing findings through corrective actions.
• Resolve issues related to compliance systems and tools, ensuring data accuracy and system integrity.
• Gather and communicate stakeholder requirements clearly. Distribute relevant documentation and updates to ensure alignment across teams.
• Lead the preparation and validation of business requirements to support compliance initiatives and system enhancements.

Requirements

• Minimum 2 years, up to 5 years (preferred) of progressive experience with CIRO Dealer Member or bank
• Experience in wealth management or other regulated industry is a strong asset.
• Knowledge of the financial services industry, CIRO and provincial securities regulators.
• Experience with data analysis and risk management is highly desirable.
• Proficiency in analysis tools and software (e.g., Power BI).
• Proficiency with the MSOffice suite, including Word, PowerPoint, Teams & Outlook.
• Familiar with compliance systems and tools for supervision & communications monitoring.
• 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.
• 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

• Power BI
• MSOffice suite
• Word
• PowerPoint
• Teams
• Outlook
• Data analysis
• Risk management
• Communication skills
• Analytical skills
• Problem-solving skills
• Organizational skills
• Attention to detail
• Critical thinking

Location

• Winnipeg
• Calgary

Work Type

• Onsite

Experience Level

• 2-5 years

Education Level

• Bachelor’s degree in business administration, Finance, Accounting, or a related field would be an asset.
• Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.

Salary/Compensations

• $50,000 - $60,000.00 annually

Benefits

• Health insurance
• Accident insurance
• Life insurance
• Other unique benefits per location
• Discretionary bonuses
• Other 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.