Compliance Analyst


Role Description:
Wellington-Altus is currently recruiting for two Compliance Analysts. Reporting to the Senior Manager, Compliance, the Compliance Analyst assists the Compliance Department with the analysis required to support the compliance structure of the firm including tier 2 supervision, branch audit analysis and reporting, complaint and investigation analysis, Advisor communication monitoring and maintaining intranet site and materials.

As a Compliance Analyst, you will:

  • Conduct tier 2 daily, monthly, quarterly and annual reviews for all of Canada and follow up with the Advisor or designated Manager, Supervision or Associate Manager, Supervision on any issues identified. This includes the review of accounts with debit or credit issues at the firm and the adjudication of attestation responses provided by new employees or existing employees on an annual basis.
  • Be responsible for high risk client and other AML review processes for the firm.
  • Monitor and remediate employee use of text, email and social media (LinkedIn, Twitter, etc.) and providing regular updates to the designated Manager, Supervision or Associate Manager, Supervision.
  • Support the complaint handling and investigative processes by conducting a preliminary review and analysis of the merits of the concern and providing a recommendation to the Senior Manager, Compliance (and ultimately the Vice-President, Compliance and Supervision) on potential outcomes. This includes conducting suitability analysis and preparing information for response to IIROC, OBSI and other regulators.
  • Provide support in the branch audit planning process including the maintenance of a branch risk model, administration of pre-audit procedures and the preparation and issuance of reports, etc. including tracking stats and recommending remedial actions on the effectiveness of the audit program to the Senior Manager, Compliance (and ultimately the Vice-President, Compliance and Supervision).
  • Assist in the maintenance of policies and procedures, guides, flowcharts, bulletins and training materials to support the compliance system which is intended to ensure the firm and individuals acting on its behalf comply with securities legislation and regulatory requirements. This includes timely and accurate updates to the Compliance intranet site for the benefit of all employees of the firm.
  • Perform other duties as may be assigned.

Your education and qualifications include:

  • Post-secondary education in business administration or similar field of study.
  • Minimum of 2 years relevant experience, preferably all of which working for a Dealer Member or equivalent.
  • Completion of the Conducts and Practices Handbook and Branch Managers Course would be an asset.
  • Strong interpersonal and written/oral communication skills.
  • Excellent attention to detail and organizational skills with the ability to handle multiple priorities in a fast pace environment.
  • Great attitude and service orientation.
  • Proficiency with Microsoft Word, Excel and Access.

Conditions of Employment:

  • Must be legally eligible to work in Canada
  • Successful completion of Canadian Securities Course is required.
  • 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.