Compliance Analyst, Group Audit

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

Reporting to the Associate Vice‑President, Group Audit and Conduct, the Compliance Analyst, Group Audit will conduct the Compliance Audit Review Program for all WAFI subsidiaries. The role requires an analytical mindset with exceptional attention to detail, experience in the financial services industry, and familiarity with investment products and services; knowledge of CIRO/IIROC regulations and industry best practices is considered an asset.

• Conduct comprehensive audits of various branches in accordance with regulatory requirements and internal policies and procedures.
• Prepare audit reports in a timely manner following the completion of branch audits.
• Support the collection of data for compliance‑related and/or regulatory requests.
• Prepare reports, as requested, for use by the Compliance department.
• Schedule interviews with advisors to ensure internal processes and regulatory requirements are adhered to.
• Foster strong relationships with advisors during the branch audit process.
• Identify trends or key risks/themes for training or recommendations for policy changes.
• Remain informed of regulatory developments and changes to internal policies and procedures.
• Participate in other compliance and supervision‑related projects and initiatives as assigned.
• Assist in implementing new processes or amending current ones to ensure regulatory requirements are met.
• Perform other duties as assigned.

• Bachelor’s degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.
• Completion of CSC, CPH or CIRE preferred.
• Experience in the financial services industry.
• 2‑3 years’ financial services industry experience working in a high‑growth environment.
• Proficiency with MS Office (Word, Excel, PowerPoint, Teams) and knowledge of advanced Excel functions (VLOOKUP, pivot tables, etc.).
• Demonstrated analytical, organizational, and problem‑solving skills.
• Ability to work independently with minimal supervision and collaboratively as part of a team.
• Strong organizational skills with the ability to proactively organize and manage a high volume of time‑sensitive, highly detailed, and confidential information.
• Ability to build and maintain professional relationships (e.g., with advisors and other compliance staff).
• Excellent verbal and written communication skills.
• Strong attention to detail and ability to identify and elevate issues promptly.
• Knowledge of financial products, financial terms, and business processes of an investment dealer/advisory firm.
• Exemplary interpersonal and influencing skills; ability to communicate effectively and work collaboratively across multiple mediums (in‑person, over the phone, and virtually).
• High tolerance for ambiguity; highly adaptive and able to manage a large volume of competing priorities.

Range $52,000 - $68,000 annually.

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 may also include discretionary bonuses and other perks.

• Must be legally eligible to work in Canada.
• Background checks may be required 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.