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About the Role
The Supervisor will be responsible for the supervision of WAPW activities to ensure the firm and its registrants adhere to all regulatory requirements and internal policies and procedures. This position requires registration with the Canadian Investment Regulatory Organization (CIRO) of Canada.
Responsibilities
- Conducting due diligence on Tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports.
- Reviewing NCAFs/KYC updates (including managed accounts).
- Assessing and approving OM submissions.
- Providing guidance and resolution related to compliance matters.
- Participating in internal compliance reviews and/or external regulator reviews.
- Assisting Advisor teams in resolving inquiries and addressing compliance issues quickly and accurately.
- Educating Registrants on compliance obligations and provide ongoing support regarding supervision and regulatory requirements.
- Fostering strong, collaborative working relationships across Compliance, Supervision, Advisor teams, and corporate departments to promote a robust culture of compliance.
- Participating in other compliance and supervision-related projects and initiatives as needed.
- Staying informed of regulatory changes and maintain a strong understanding of internal policy and procedure updates within the firm and across the industry.
- Identifying opportunities to enhance the efficiency and effectiveness of the firm’s compliance and supervision systems.
- Contributing to the continuous improvement of processes, ensuring alignment with CIRO rules and provincial securities legislation.
Requirements
- Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
- A minimum of 5 years of progressive experience with a CIRO member dealer, including 2 years in a compliance or supervisory role.
- CIRO registration as a Supervisor.
- Designation as Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA).
- Proficiency in the French language would be considered an asset.
- Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.
- Proficiency with the MS Office 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.
- 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.
- Must be able to travel anywhere in Canada up to 0 - 20% of the time.
- A background check, satisfactory to the employer, may be required of the successful applicant prior to commencing employment.
Skills
- MS Office suite
- Word
- Excel
- PowerPoint
- Teams
- Outlook
- French language proficiency
- Regulatory framework knowledge
- CIRO rules and regulations
- Provincial securities legislation
- Accountability
- Reliability
- Adaptability
- Innovation
- Organizational skills
- Attention to detail
- Prioritization
- Written communication
- Verbal communication
- Analytical skills
- Problem-solving skills
- Professional judgement
- Collaboration
- Interpersonal skills
- Influencing skills
- Critical thinking
- Confidentiality
Location
- Toronto
- Calgary
Work Type
- Onsite
Experience Level
- 5 years of progressive experience with a CIRO member dealer
- 2 years in a compliance or supervisory role
Education Level
- Bachelor’s degree in business administration, finance, or similar field of study
- Equivalent combination of education and experience
Salary/Compensations
- $80,000.00 - $120,000.00 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 Private Wealth Inc. (Wellington-Altus) is Canada's top-rated investment dealer and a subsidiary of Wellington-Altus Financial Inc., one of Canada’s Top Growing Companies.
- With more than $55 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors, 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.