Compliance Analyst

Location: This in-office position will be based out of our Calgary or Toronto office.

Our organization:

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 more than $35 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.

*Investment Executive 2024 Brokerage Report Card.

The opportunity:

Reporting to the Senior Manager, Compliance, the Compliance Analyst will be the systems expert for the Compliance department, including those used for communications monitoring (email/social/text), trading supervision and internal databases. This position will play a critical role in ensuring that the organization adheres to all regulatory requirements and internal policies.

The Compliance Analyst will analyze and support the organization’s compliance systems and databases through change management, day-to-day support and implementation. The incumbent will be responsible for managing compliance-related data, identifying potential risks, and developing strategies to mitigate those risks. This is a great opportunity for those wanting to develop their technical skills within the compliance function.

Key responsibilities include:

Leading the preparation and validation of business requirements to support compliance initiatives and system enhancements.
Maintaining and supporting all compliance-related systems and databases, including user access, release updates, and the rollout of new or enhanced functionalities.
Resolving issues related to compliance systems and tools, ensuring data accuracy and system integrity.
Staying current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
Conducting compliance risk assessments and developing strategies to mitigate identified risks.
Supporting the implementation of risk management measures.
Assisting with internal and external audits by providing required documentation and addressing findings through corrective actions.
Analyzing compliance data to uncover trends, identifying gaps, and recommending improvements.
Preparing detailed reports and presenting actionable insights to stakeholders.
Gathering and communicating stakeholder requirements clearly.
Distributing relevant documentation and updates to ensure alignment across teams.
Evaluating existing compliance processes and identifying opportunities for improvement.
Collaborating with cross-functional teams to implement and embed enhancements.
Assisting in implementing new processes or amending current ones to ensure regulatory requirements are met.
Participating in other compliance and supervision-related projects and initiatives as needed.
Performing other duties as assigned.

The ideal candidate will possess:

A bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
A minimum of 3 years of experience in a compliance or regulatory environment.
Experience collaborating with IT partners to effectively implement and manage technology solutions is an asset.
Experience in data analysis and risk management is a strong asset.
Proficiency in analysis tools and software (e.g., Power BI).
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
Canadian Securities Course (CSC) is an asset.
Familiar with compliance systems and tools for supervision & communications monitoring.
Knowledge of the financial services industry, CIRO and provincial securities regulators.
Strong analytical and problem-solving skills.
Excellent communication and interpersonal skills.
Ability to manage multiple priorities and work effectively under pressure.
High attention to detail and accuracy.
Strong ethical standards and integrity.
Ability to work independently.
Ability to work collaboratively within a team.
Proactive approach and a strong commitment to continuous improvement.

Conditions of employment:

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.

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.

To apply:

Click the Apply for This Job button to submit your resume, cover letter and salary expectations. You will be contacted if you are selected for an interview. More information about working at Wellington-Altus can be found on our website at www.wellington-altus.com.