Supervisor, Finance & Banking, Regulatory Compliance Specialist

Location:

T his posting is for an existing vacancy in Wellington-Altus’s Toronto or Calgary 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 Associate Vice-President, Supervision, the Supervisor will be responsible for the supervision of WAPW activities to ensure the firm and its registrants continue to adhere to all regulatory requirements and internal policies and procedures. This position requires registration with the Canadian Investment Regulatory Organization (CIRO) of Canada.

Key Responsibilities Include:

Conducting due diligence on Tier 1 supervision activities, including the review and approval of daily, monthly, and quarterly trade reports; review NCAFs/KYC updates (including managed accounts); and assess and approve OM submissions.

Providing guidance and resolution related to compliance matters.

Participating in internal compliance reviews and/or external regulator reviews.

Assisting Advisor teams in resolving inquiries and addressing compliance issues quickly and accurately.

Training &

Cross-Functional Collaboration:

Educating Registrants on compliance obligations and provide ongoing support regarding supervision and regulatory requirements.

Fostering strong, collaborative working relationships across Compliance, Supervision, Advisor teams, and corporate departments to promote a robust culture of compliance.

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

Process & Policy Improvements:

Staying informed of regulatory changes and maintain a strong understanding of internal policy and procedure updates within the firm and across the industry.

Identify opportunities to enhance the efficiency and effectiveness of the firm’s compliance and supervision systems.

Contributing to the continuous improvement of processes, ensuring alignment with CIRO rules and provincial securities legislation.

The Ideal Candidate Will Possess:

Bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.

A minimum of 5 years of progressive experience with a CIRO member dealer, including 2 years in a compliance or supervisory role.

CIRO registration as a Supervisor.

Designation as Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA).

Proficiency in the French language would be considered an asset.

Knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations and provincial securities legislation.

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

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…