Advance your career as a Compliance Analyst with Wellington-Altus in Winnipeg, Toronto, Burlington, or Vancouver. This role focuses on ensuring compliance with regulatory standards and supporting the advisory teams.
Reporting to the AVP, Compliance, you will play a crucial role in the compliance framework for Wellington-Altus Private Counsel and Wellington-Altus USA. Your duties will include assessing regulatory compliance through document reviews and collaborating with multiple departments. This position is ideal for those looking to make a significant impact on compliance processes in the financial sector.
Key Responsibilities:
• Conduct regulatory compliance reviews of documents
• Monitor high-risk accounts and prepare reports




• Review outside business activities and personal trade monitoring
• Work with Compliance, Audit, and Advisory teams
• Assist in creating compliance training materials
Requirements:
• Bachelor's degree in a relevant field
• Investment Dealer or Portfolio Manager experience
• Familiarity with provincial and SEC regulations
• Robust skills in MS Office tools
• Excellent communication and organizational abilities
Join Wellington-Altus to drive regulatory compliance and enhance oversight within a top-ranked investment dealer.
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📌 Compliance Analyst Needed At Wellington Altus Toronto
🏢 Wellington-Altus Financial
📍 Toronto