Associate Vice‑President, Group Audit and Conduct Location:Wellington-Altus’ Toronto officeOverview:Founded in 2017, Wellington-Altus Financial Inc. (WAFI) is the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus USA Inc., Wellington-Altus Insurance Inc., Wellington-Altus Group Solutions Inc., and Wellington-Altus Private Wealth Inc. The firm is the top-rated investment dealer in Canada and one of Canada’s Best Managed Companies. With over $45 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.Key ResponsibilitiesRisk Management and ComplianceSupport the Vice‑President with ongoing responsibilities related to WAFI and all subsidiary compliance programs.Support engagements related to external regulatory reviews, including MSC, CIRO, FINTRAC, etc.Review changes in regulatory requirements to assess impact on firm’s operations or compliance approach.Provide guidance to corporate employees and registrants regarding interpretation of relevant rules and compliance with best practices.Foster strong relationships with internal and external stakeholders to promote a culture of compliance.Proactively identify emerging risks, industry trends, changes in regulatory requirements and current events.Escalate issues to the appropriate senior leaders, where warranted.Participate in internal compliance reviews and external regulatory reviews, as required.Branch Review, Testing and ReportingLead the ongoing Branch Review program to ensure regulatory obligations are met and conduct RCAs and thematic testing engagements as required.Develop and implement strategies for branch review, monitoring, and testing to align with organizational goals and regulatory requirements.Establish and maintain policies and procedures for effective branch oversight, complaint handling, and investigation processes.Lead the development of appropriate policies, procedures, and controls to deliver an effective program of audit & conduct in branches.Prepare and present detailed reports on branch performance, compliance findings, and testing results to senior management and stakeholders.Provide recommendations to enhance branch operations, address compliance issues,



and support advisor discipline and corrective actions.Lead analysts on a regular basis with respect to advisor operations and compliance.Lead the development and enhancement of internal monitoring and testing controls for compliance, branch, and corporate functions.Identify emerging risks and trends and make enhancements to existing policies, procedures, and controls to mitigate risk and improve the efficiency and effectiveness of the firm’s risk‑based testing program.Team Leadership and DevelopmentLead, mentor, and develop a high‑performing team responsible for branch review, monitoring, testing, and complaint management.Foster a culture of excellence, collaboration, adaptability, and continuous improvement within the team.Perform other duties as assigned.Qualifications and ExperienceDegree in Business, Economics, or related field. A degree in law, accounting, or a risk‑management designation is an asset.A minimum of 10 years of progressive financial services experience, preferably with a CIRO Dealer Member or a registered Portfolio Manager. Audit background required / alternatively past CIA or CCO experience.Experience with U.S. regulatory requirements and the U.S. Securities & Exchange Commission (SEC) and provincially regulated Portfolio Managers is an asset.Past RCM (regulatory control management) experience is considered an asset.Substantial experience/background in operational controls.Experience in developing reporting and programs across multiple wealth management business lines.Proven track record in designing and executing monitoring and operational control testing programs across multiple wealth management business lines.Demonstrated in‑depth knowledge of the regulatory framework in Canada, proficiency with CIRO rules and regulations, and provincial securities legislation.Industry courses such as the Investment Dealer’s Supervisors Course, Partners, Directors and Senior Officer’s Course.Courses or designations in accounting, audit, and risk management are considered assets.Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.Familiarity with compliance systems including Global Relay, Portfolio Aid, OSS,



Power BI.Leadership & Influence: A proactive, empathetic leader who builds trust, drives accountability, and fosters a team-oriented, client‑focused culture; an effective communicator able to listen, influence, and navigate conflict constructively.Entrepreneurial & Strategic: Thrives in fast‑paced, evolving environments with a high tolerance for ambiguity; able to move seamlesslybetween strategic thinking and hands‑on execution.Results‑Driven & Accountable: Performance‑focused with strong business acumen and a track record of delivering, scaling results, and meeting strict deadlines.Analytical & Problem‑Solving: Demonstrates strong critical thinking and analytical skills, with the ability to diagnose complex issues and implement effective, practical solutions.Organized & Detail‑Oriented: Highly reliable with excellent organizational and time‑management skills; able to manage competing priorities, multitask effectively, and maintain attention to detail.Compliance & Confidentiality Expertise: In‑depth knowledge of regulatory requirements and compliance standards, with proven experience designing and executing monitoring and testing programs while maintaining the highest levels of confidentiality.Compensation and Benefits Range: $136,000 – $186,000 annually. This range represents the expected compensation for this position; actual compensation will vary based on location, skills, experience, and qualification. Compensation for part‑time roles will be pro‑rated based on hours regularly worked. The total compensation package may also include discretionary bonuses and other perks and rewards, as well as health, accident, and life insurance.Conditions of EmploymentMust be legally eligible to work in Canada.Background check, satisfactory to the employer, may be required prior to commencing employment.Must be able to travel up to 0–5% of the time.Wellington-Altus Private Wealth is strongly committed to equity and diversity within its community and welcomes applications from women, racialized persons, Indigenous peoples, persons with disabilities, and persons of all sexual orientations and genders. All qualified individuals who would contribute to the further diversification of our organization are encouraged to apply. If you require accommodation for the recruitment process, please let us know at the point of application.#J-18808-Ljbffr

📌 Associate Vice-President, Group Audit & Conduct - C$136,000 - C$186,000 A Year (Toronto)
🏢 Wellington-Altus Financial
📍 Toronto