Wellington-Altus Compliance Auditor

Position: Wellington-Altus Compliance Auditor Role
Become a Compliance Auditor with Wellington-Altus in Calgary or Toronto. Leverage your expertise in financial compliance and regulations to facilitate thorough audits and contribute to industry best practices.

Reporting to the Associate Vice-President, you will manage compliance audits for WAFI subsidiaries. Ideal candidates will possess knowledge of investment products and CIRO/IIROC standards. Key skills include attention to detail, problem-solving capabilities, and strong interpersonal skills for engaging with advisors.

Key Responsibilities:

• Conduct audits according to internal policies

• Generate audit reports after branch assessments

• Assist in data collection for regulatory requests

• Coordinate with advisors to ensure compliance

• Identify compliance trends impacting policy updates

Requirements:

• Bachelor’s degree in business or finance

• 2-3 years of relevant experience in financial services

• Proficiency in advanced Excel and MS Office

• Strong organizational and analytical skills

• Ability to communicate effectively across multiple channels

Contribute to regulatory compliance and strengthen internal audits while growing your career at Wellington-Altus.
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