Compliance Analyst in Financial Services

Join Wellington-Altus as a Compliance Analyst, ensuring compliance excellence in a dynamic financial services environment. This role is available in cities like Winnipeg, Toronto, Burlington, or Vancouver.

You will report to the AVP, Compliance, focusing on supporting Wellington-Altus Private Counsel and Wellington-Altus USA in meeting regulatory obligations. This position involves direct interaction with advisor teams, offering compliance guidance while engaging in reviews and process improvements. The successful candidate will play an integral role in refining compliance protocols and regulatory adherence.

Key Responsibilities:

• Review account suitability and trading activities

• Monitor compliance with internal policies and industry regulations

• Assist in drafting compliance policy documents

• Provide timely support for regulatory inquiries

• Participate in internal compliance training sessions

Requirements:

• Degree in business, finance, or a similar field

• Experience in a Tier 2 supervisory capacity preferred

• Familiarity with regulatory requirements for PMs and SEC RIAs

• Strong analytical and problem-solving skills

• Excellent communication across diverse teams

Contribute your regulatory expertise to uphold compliance integrity at Wellington-Altus.
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