Senior Manager, Group Audit & Conduct
Job in
Toronto, Ontario, M5A, Canada
Listing for:
Wellington-Altus
Full Time
position
Listed on 2026-02-26
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
Senior Manager, Group Audit & Conduct
Location: This posting is for an existing vacancy in Wellington-Altus’s Calgary or Toronto 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 Assistance Vice-President, Group Audit and Conduct, the Senior Manager, Group Audit & Conduct will provide functional oversight of audit deliverables, leading a portfolio of audits across the wealth businesses. The role will own risk assessment and plan delivery, elevate audit quality and insights, coach a high-performing team and influence senior stakeholders to strengthen control environments, conduct risk management and regulatory compliance.
Key responsibilities include:
Audit Planning & Risk Assessment Lead the wealth risk assessment and develop a risk-based annual audit plan covering core lines of business, products, and key risk themes (e.g., suitability, KYC/AML, sales practices, conflicts, best execution, portfolio oversight, model risk, third-party risk, cyber & data, privacy). Continuously update the plan based on emerging risks, regulatory changes, incidents, complaints, and business growth initiatives (e.g., new products, platforms, or outsourcing).
Incorporate data-driven scoping, thematic reviews, and continuous monitoring.Audit Execution & Quality Oversee end-to-end audits: planning, fieldwork, testing, issue development, reporting, and follow-up—on time, on budget, and internal methodology. Ensure robust testing of design and operating effectiveness for key controls over advice, client onboarding, account maintenance, trading, suitability, fee billing, disclosure, privacy, and safeguarding of client assets. Drive the use of data analytics (population testing, stratified sampling, trend analysis, and control monitoring).
Review workpapers and reports to ensure clarity, factual accuracy, proportionality of findings, and actionable recommendations.Regulatory & Conduct Risk Focus Assess compliance with applicable regulations and guidance (e.g., CIRO/IIROC Dealer Rules, OSC/CSA, FINTRAC, privacy laws) and internal policies/standards. Evaluate conduct risk and client outcomes: suitability and KYC, conflicts management, compensation and incentives, complaints handling, vulnerable clients, and disclosure transparency. Prepare for and support regulatory exams; track and validate remediation actions.Stakeholder Management & Influence Build trusted, constructive relationships with senior leaders in Wealth (front office, compliance, operations, risk, technology). Communicate insights succinctly, distinguishing between control gaps, design opportunities, and operational improvements that strengthen client outcomes and business resilience. Escalate significant issues promptly, frame risk clearly, and align pragmatic remediation plans with measurable outcomes and accountable owners.People Leadership Lead and coach a team of managers/senior auditors; set goals, allocate work, review deliverables, and provide timely feedback. Develop team capabilities in wealth products, conduct risk, regulatory interpretation, testing discipline, analytics, and storytelling. Foster a high-performance, inclusive culture rooted in curiosity, accountability, and continuous improvement.Continuous Improvement Champion audit methodology enhancements, automation, and analytics use cases (e.g., exception monitoring, outlier detection, fee/expense testing). Contribute to audit committee materials, thematic insights, and quarterly risk reporting. Share best practices across Group Audit &…
Position Requirements
10+ Years
work experience
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