Compliance Analyst

Compliance Analyst

Location: This posting is for an existing vacancy in Wellington-Altus’s Calgary or Toronto office.

Our organization:

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.

The opportunity:

Reporting to the AVP, Supervision, the Compliance Analyst, will be a systems expert for the Compliance Team supporting their tools, 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.

Key responsibilities include:

• Maintain and support all compliance-related systems and tools, including user access, release updates, and the rollout of new or enhanced functionalities.
• Analyze compliance data to uncover trends, identify gaps, and recommend improvements. Prepare detailed reports and present actionable insights to stakeholders.
• Stay current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
• Evaluate existing compliance processes and identify opportunities for improvement. Collaborate with cross-functional teams to implement and embed enhancements.
• Conduct compliance risk assessments and develop strategies to mitigate identified risks. Support the implementation of risk management measures.
• Assist with internal and external audits by providing required documentation and addressing findings through corrective actions.
• Resolve issues related to compliance systems and tools, ensuring data accuracy and system integrity.
• Gather and communicate stakeholder requirements clearly. Distribute relevant documentation and updates to ensure alignment across teams.
• Lead the preparation and validation of business requirements to support compliance initiatives and system enhancements.
• Monitor email communications and social media for regulator risks to identify red flags or unusual activity.

The ideal candidate will possess:

• Bachelor’s degree in business administration, Finance, Accounting, or a related field would be an asset.
• Industry courses would be considered assets.
• Minimum 2 years, up to 5 years (preferred) of progressive experience with CIRO Dealer Member or bank
• Experience in wealth management or other regulated industry is a strong asset.
• Knowledge of the financial services industry, CIRO and provincial securities regulators.
• Experience with data analysis and risk management is highly desirable
• Proficiency in analysis tools and software (e.g., Power BI).
• Proficiency with the MSOffice suite, including Word, PowerPoint, Teams & Outlook.
• Familiar with compliance systems and tools for supervision & communications monitoring.
• 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.

Compensation & Benefits:

Range $44,000 - $55,000 annually.

This range represents Wellington-Altus' expected range of compensation for this position. Actual compensation will vary and will be based on various factors, such as location, skills, experience, and qualification for the role. Compensation for part-time roles will be pro-rated based on number of hours regularly worked.

Wellington-Altus' total compensation package for employees may also include discretionary bonuses as well as other perks and rewards. Wellington-Altus also offers health insurance, accident and life insurance, and other unique benefits per location.

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. Artificial Intelligence (AI) will be used to screen and assess candidates for this role.