Compliance Analyst Wellington-Altus

Position: Compliance Analyst for Wellington-Altus
Elevate your career in compliance with Wellington-Altus in Winnipeg, Toronto, Burlington, or Vancouver. This role focuses on regulatory adherence, document reviews, and supporting advisors in compliance matters.

As a Compliance Analyst reporting to the AVP, Compliance, you will provide essential compliance support for Wellington-Altus Private Counsel and Wellington-Altus USA. Your key responsibilities will include conducting regulatory reviews and collaborating with various departments to elevate compliance standards. This is an opportunity to deepen your understanding of compliance within a leading investment firm.

Key Responsibilities:

• Perform regulatory reviews on account documents

• Review suitability and advisor compensation issues

• Monitor higher-risk accounts and prepare reports

• Collaborate with Compliance and Audit teams

• Assist in the development of compliance programs

Requirements:

• Bachelor's degree in business, finance, or similar

• Experience in Tier 2 supervisory role

• Familiarity with regulatory compliance requirements

• Proficiency in MS Office suite

• Strong analytical and communication skills

Bring your compliance expertise to Wellington-Altus and ensure adherence to industry regulations while supporting a dynamic team.
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