Compliance Analyst WAPC and WAUSA

Position: Compliance Analyst for WAPC and WAUSA
Wellington-Altus is hiring a full-time Compliance Analyst, specializing in WAPC and WAUSA divisions. This role is vital for ensuring compliance with regulatory standards across Canada.

In this mid-level Compliance Analyst position, you’ll support compliance functions for WAPC and WAUSA.

Your role will involve performing regulatory and suitability reviews, assisting with compliance-related inquiries, and providing necessary training to staff. Strong analytical and interpersonal skills are essential for success in this fast-paced role.

Key Responsibilities:

• Execute regulatory reviews of accounts and documents

• Monitor compliance activities and advisor compensation

• Analyze personal trade monitoring and outside business activities

• Assist in internal and regulatory compliance reviews

• Prepare and update compliance policies and training materials

Requirements:

• Bachelor’s degree in business, finance, or economics

• Experience in compliance or wealth management fields

• Proficient with Microsoft Office tools

• Strong attention to detail and organizational skills

• Ability to work under pressure and manage priorities

Join Wellington-Altus to enhance compliance processes and ensure the highest standards of integrity in financial advisory services.
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