Senior Compliance Analyst

Senior Compliance Analyst 

Location: This in-office position will be based out of our Calgary or Toronto office.

Our organization:

Founded in 2017, Wellington-Altus Financial (Wellington-Altus) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., Independent Advisor Solutions Inc., and Wellington-Altus Private Wealth Inc.—the top-rated* investment dealer in Canada and one of Canada’s Best Managed Companies. With nearly $40 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors and portfolio managers and their high-net-worth clients.

*Investment Executive 2025 Brokerage Report Card.

The opportunity:

Reporting to the Senior Manager, Compliance, the Senior Compliance Analyst will be responsible for completing Tier 2 supervisor functions, in addition to other Compliance Analyst functions as assigned. Daily tasks will vary and will look to provide holistic compliance supervision support, which may a review of Tier 2 daily, monthly, and quarterly trading, email/social media surveillance. The Senior Compliance Analyst will interact with a variety of stakeholders across the organization while adhering to the regulatory requirements.

Key responsibilities include:

• Monitoring email communications and social media for regulator risks to identify red flags or unusual activity.
• Performing Tier 2 supervision duties assigned, including more complex or escalated reviews of business activities, supervision of higher-risk accounts or representatives and secondary oversight of Tier 1 process.
• Improving, developing, and maintaining Tier 2 processes and workflows.
• Assisting with training and providing support to analysts and newly onboard team members on protocols and procedures.
• Providing guidance and supporting to registered individuals and other firm staff in understanding and interpreting compliance requirements and regulatory expectations.
• Assisting with resolving compliance-related issues.
• Serving as a trusted resource for addressing inquiries related to firm policies, business practices and regulatory interpretations
• Participating in internal compliance reviews and/or external regulator reviews conducted at Head Office or branches.
• Participate in internal audits and compliance assessments, including thematic reviews, branch audits or targeted testing of specific controls or processes.
• Supporting external regulatory reviews by preparing documentation, responding to requests and assisting in implementing follow-up actions or remediation.
• Maintaining a current understanding of the firm’s internal policies and procedures, as well as applicable industry regulations and compliance trends.
• Staying informed about regulatory changes and participate in training sessions or industry forums as appropriate.
• Participating in other compliance and supervision-related projects and initiatives as assigned.
• Performing other duties as assigned.

The ideal candidate will possess:

• A bachelor’s degree in business administration, finance, or similar field of study, or equivalent combination of education and experience.
• A minimum of 2-5 years of progressive experience with CIRO Dealer Member or bank, including 1 year in a sales assistant, compliance or operations role.
• A minimum of 1 year experience in a Tier 2 supervisory role is a strong asset. 
• Experience in wealth management or other regulated industry is a strong asset.

• Canadian Securities Course (CSC) is an asset.

• Conduct & Practice Handbook (CPH) is an asset.

• Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
• Demonstrates a high level of accountability, adaptability, and innovation in achieving both day-to-day responsibilities and long-term goals.
• Strong attention to detail.
• Excellent attitude and commitment to providing exceptional service.
• Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).
• Strong problem-solving and critical thinking abilities.
• Highly organized with a consistent and reliable work ethic.
• Comfortable with ambiguity and able to manage a high volume of competing priorities.
• Maintains the highest level of confidentiality.

Conditions of employment:

• Must be legally eligible to work in Canada.
• A background check, satisfactory to the employer, may be required