Wellington-Altus Compliance Analyst

Position: Wellington-Altus Compliance Analyst Role
Elevate your career as a Compliance Analyst at Wellington-Altus, overseeing compliance efforts from offices in Winnipeg, Toronto, Burlington, or Vancouver. Play a pivotal role in regulatory adherence and client satisfaction.
In this vital position, you will ensure a streamlined compliance program for Wellington-Altus Private Counsel and its SEC-registered counterpart. Reporting to the AVP, Compliance, your role encompasses monitoring, training, and offering support to registered individuals regarding compliance expectations. Your contributions will directly impact the efficiency of compliance-related processes within the organization.

Key Responsibilities:

• Conduct regulatory reviews of managed accounts

• Collaborate on compliance controls and procedures

• Assist in preparing compliance communication materials

• Monitor compliance-related inquiries from advisors

• Participate in compliance projects and initiatives
Requirements:

• Bachelor’s degree in a relevant field

• Background in wealth management is advantageous

• Familiarity with investment regulations is a strong asset

• Proven organizational skills for handling multiple tasks

• Effective communicator across various platforms
Utilize your compliance understanding to enhance the integrity of Wellington-Altus’s operations.
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