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 (Burlington)
🏢 Wellington-Altus Financial
📍 Burlington