WAPC & WAUSA Compliance Analyst

Position: WAPC & WAUSA Compliance Analyst Role
Step into the role of Compliance Analyst at Wellington-Altus, focusing on WAPC and WAUSA compliance. This full-time position in Canada is pivotal for regulatory adherence and firm integrity.

The Compliance Analyst will provide essential compliance support within the WAPC and WAUSA frameworks. You will be responsible for conducting regulatory reviews, monitoring higher-risk activities, and guiding firm staff on compliance requirements. The role demands excellent problem-solving abilities and strong attention to detail.

Key Responsibilities:

• Conduct reviews of managed account activities

• Monitor compliance for various advisor actions

• Provide compliance program guidance and support

• Participate in regulatory inquiries and internal reviews

• Assist in updating compliance documentation

Requirements:

• Bachelor’s degree in a related field

• Previous compliance or supervisory experience

• Strong MS Office skills required

• Excellent verbal and written communication skills

• Proven ability to prioritize tasks in a busy environment

Support the compliance initiatives at Wellington-Altus, ensuring all regulatory standards are met within the firm.
#J-18808-Ljbffr