Senior Compliance Analyst

Join Wellington-Altus as a Senior Compliance Analyst in Toronto, specializing in compliance supervision and Tier 2 functions. You'll be responsible for crucial regulatory monitoring and stakeholder engagement.

Wellington-Altus Financial Inc. seeks a knowledgeable Senior Compliance Analyst to report to the Senior Manager, Compliance. This role necessitates at least 2-5 years of experience in compliance or operations, with a focus on Tier 2 supervision tasks. Engage with diverse stakeholders while upholding regulatory standards and supporting team members in compliance education.

Key Responsibilities:

• Monitor communications for regulatory risks and unusual activities

• Conduct complex Tier 2 supervision and enhance processes

• Assist analysts with compliance training and protocols

• Provide guidance on compliance requirements and issues

• Participate in internal and external compliance assessments

Requirements:

• Bachelor’s degree in relevant field or equivalent experience

• 2-5 years in CIRO Dealer Member or bank roles

• Experience in a supervisory Tier 2 position

• Familiarity with wealth management is an asset

• Proficiency in MS Office suite for documentation

Bring your compliance expertise and attention to detail to make an impact at Wellington-Altus in Toronto.
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