Senior Compliance Analyst Job Calgary area,Alberta Canada,Finance & Banking

Senior Compliance Analyst

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

Our organization
:

Founded in 2017, Wellington-Altus Financial (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., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated
* investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 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 2025 Brokerage Report Card.

The opportunity:

Reporting to the Senior Manager, Compliance, the Senior Compliance Analyst will be responsible for completing Tier 2 supervisor functions, in addition to other Compliance Analyst functions as assigned. Daily tasks will vary and will look to provide holistic compliance supervision support, which may a review of Tier 2 daily, monthly, and quarterly trading, email/social media surveillance. The Senior Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.

Key responsibilities include:

Monitoring email communications and social media for regulator risks to identify red flags or unusual activity.

Performing Tier 2 supervision duties assigned, including more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process.

Improving, developing, and maintaining Tier 2 processes and workflows.

Assisting with training and providing support to analysts and newly onboard team members on protocols and procedures.

Providing guidance and supporting to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations.

Assisting with resolving compliance-related issues.

Serving as a trusted resource for addressing inquiries related to firm policies, business practices and regulatory interpretations

Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.

Participating in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes.

Supporting external regulatory reviews by preparing documentation, responding to requests and assisting in implementing follow-up actions or remediation.

Maintaining a current understanding of the firm’s internal policies and procedures, as well as applicable industry regulations and compliance trends.

Staying informed about regulatory changes and participate in training sessions or industry forums as appropriate.

Participating in other compliance and supervision-related projects and initiatives as assigned.

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 2-5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.

A minimum of 1 year experience in a Tier 2 supervisory role is a strong asset.

Experience in wealth management or other regulated industry is a strong asset.

Currently licensed as a Supervisor with CIRO is preferred.

Candidates who are not yet licensed but are willing and able to complete the necessary CIRO supervisory licensing requirements will also be considered.

Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.

Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals.

Strong attention to detail.

Excellent attitude and commitment to providing exceptional service.

Exemplary interpersonal, influencing, and communication skills across…


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