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About the Role
The Senior Compliance Analyst, Group AML will manage key deliverables within an Anti-Money Laundering surveillance project, leveraging technology to enhance the analyst function. This role reports to the VP, Audit & Conduct.
Responsibilities
- Manage and maintain High-Risk Client Lists as determined by daily trade and account supervisor.
- Conduct analysis with respect to AML due diligence leveraging external and internal databases.
- Draft and prepare AML investigative summaries for the Chief Compliance Officers.
- Process manual AML reviews by logging into client applications and ensure classification of accounts is done correctly.
- Maintain AML filing requirements and ensure complete documentation.
- Assist with policies and procedures to ensure compliance with the industry regulations related to Proceeds of Crime Money Laundering and Terrorist Financing Act.
- Inform Senior Management of activity that may involve rule violation or suspicious activity.
- Support the Vice-President, Compliance on interactions with securities regulatory authorities, including inquiries, reviews, investigations, enforcement actions, complaints (internal and external) and production orders.
- Communicate with corporate staff, registrants, and regulators, including IIROC and provincial securities commissions.
- Participate in compliance related projects and initiatives, as assigned.
- Stay updated with regulatory changes.
Requirements
- University Degree on Finance or Accounting
- Valid CSC/CPH or Canadian Investment Regulatory Exam (CIRE) is considered an asset.
- A minimum of 2 years’ experience in a professional office environment.
- Previous exposure to AML monitoring or financial services required.
- An equivalent combination of education and experience may be considered.
- Experience in wealth management or other regulated industry is a strong asset.
- CAMS certification an asset.
- Proficiency with the MSOffice suite, including Word, Excel, PowerPoint, Teams, and Outlook.
- Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.
- Excellent attitude and commitment to providing extraordinary service.
- An excellent attention to detail.
- Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
- Excellent problem-solving skills.
- Strong organizational skills.
- 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
- AML monitoring
- Financial services
- Wealth management
- MSOfficce suite
- Word
- Excel
- PowerPoint
- Teams
- Outlook
- Accountability
- Reliability
- Adaptability
- Innovation
- Interpersonal skills
- Influencing skills
- Communication skills
- Collaboration
- Problem-solving skills
- Organizational skills
- Critical thinking
- Written communication skills
- Verbal communication skills
- Confidentiality
Location
- Toronto
Work Type
- Onsite
Experience Level
- Senior
- 2 years’ experience in a professional office environment
Education Level
- University Degree on Finance or Accounting
Salary/Compensations
- $70,000 - $87,500 annually
Benefits
- Health insurance
- Accident and 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 one of Canada’s Top Growing Companies and the 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.—the top-rated investment dealer in Canada.
- With more than $50 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.