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About the Role
The Senior Compliance Analyst will be responsible for completing supervisory functions and other assigned Compliance Analyst duties, providing holistic compliance supervision support. This role involves interacting with various stakeholders while adhering to regulatory requirements.
Responsibilities
- Perform supervision duties, including complex reviews of business activities, oversight 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 support 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 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 with remediation.
- Maintain an understanding of internal policies, procedures, industry regulations, and compliance trends.
- Stay informed about regulatory changes and participate in training 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 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 supervisory role is a strong asset.
- Experience in wealth management or other regulated industry is a strong asset.
- Proficiency with MS Office suite (Word, Excel, PowerPoint, Teams, Outlook).
- Demonstrates high accountability, adaptability, and innovation.
- Strong attention to detail.
- Excellent attitude and commitment to 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 managing competing priorities.
- Maintains the highest level of confidentiality.
- Must be legally eligible to work in Canada.
- Satisfactory background check may be required.
Skills
- CIRO Dealer Member or bank experience
- Sales assistant experience
- Compliance experience
- Operations role experience
- Supervisory role experience
- Wealth management experience
- MS Office suite proficiency
- Accountability
- Adaptability
- Innovation
- Attention to detail
- Interpersonal skills
- Influencing skills
- Communication skills
- Problem-solving abilities
- Critical thinking abilities
- Organization
- Work ethic
- Confidentiality
Location
- Toronto
Work Type
- Onsite
Experience Level
- Senior
- 2-5 years
- 1 year
Education Level
- Bachelor's degree in business administration, finance, or similar field
- Equivalent combination of education and experience
Salary/Compensations
- $65,000 - $80,000 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. is one of Canada’s Top Growing Companies.
- Parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.
- Wellington-Altus Private Wealth Inc. is the top-rated investment dealer in Canada.
- Has more than $50 billion in assets under administration and offices across the country.
- 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.