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About the Role
Reporting to the Associate Vice-President, Group Audit and Conduct, the Compliance Analyst, Group Audit, will conduct the Compliance Audit Review Program for the entirety of all Wellington-Altus Financial Inc. subsidiaries. The role requires an analytical mindset with exceptional attention to detail, experience in the financial services industry, and familiarity with investment products and services; knowledge of CIRO/IIROC regulations and industry best practices is considered an asset.
Responsibilities
- Conduct comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
- Prepare audit reports in a timely manner following the completion of branch audits.
- Support the collection of data for compliance-related and/or regulatory requests.
- Prepare reports, as requested, for use by the Compliance department.
- Schedule interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
- Foster strong relationships with advisors during the branch audit process.
- Identify trends or key risks/themes for training or recommendations for policy changes.
- Remain informed of regulatory developments and changes to internal policies and procedures.
- Participate in other compliance and supervision-related projects and initiatives as assigned.
- Assist in implementing new processes or amending current ones to ensure regulatory requirements are met.
- Perform other duties as assigned.
Requirements
- A bachelor’s degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
- Completion of CSC or CPH preferred.
- Experience in the financial services industry.
- 2-3 years’ financial services industry experience working in a high-growth environment.
- Proficiency with the MS Office (ie. Word, Excel, PowerPoint, Teams), and knowledge of advanced Excel functions (ie. VLOOKUP, pivot tables, etc.).
- Demonstrated analytical, organizational, and problem-solving skills.
- An ability to work independently with minimal supervision and collaboratively as part of a team.
- Strong organizational skills with the ability to proactively organize and manage a high volume of time-sensitive, highly detailed, and confidential information.
- An ability to build and maintain professional relationships (e.g., with advisors and other compliance staff).
- Excellent verbal and written communication skills.
- Strong attention to detail and ability to identify and escalate issues promptly.
- Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm.
- Exemplary interpersonal and influencing skills; an ability to communicate effectively and work collaboratively, across multiple mediums (in-person, over the phone, and virtually).
- A high tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.
- 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
- Analytical mindset
- Attention to detail
- Financial services industry experience
- Familiarity with investment products and services
- Knowledge of CIRO/IIROC regulations
- Industry best practices
- MS Office proficiency
- Advanced Excel functions (VLOOKUP, pivot tables)
- Organizational skills
- Problem-solving skills
- Independent work
- Team collaboration
- Relationship building
- Verbal communication
- Written communication
- Interpersonal skills
- Influencing skills
- Adaptability
- Priority management
Location
- Calgary
- Toronto
Work Type
- Full-time
Experience Level
- 2-3 years
Education Level
- Bachelor's degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
- CSC or CPH preferred.
Salary/Compensations
- $52,000 - $65,000 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 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.
- *Investment Executive 2026 Brokerage Report Card.
-
- Report on Business 2026 rankings.
- More information about working at Wellington-Altus can be found on our website at www.wellington-altus.ca [http://www.wellington-altus.ca].
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.