Location:This posting is for an existing vacancy in Wellington-Altus’ Toronto or Calgary office.Our organization:Founded in 2017, Wellington-Altus Financial Inc. (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., and Wellington-Altus Private Wealth Inc. – 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.Investment Executive 2025 Brokerage Report Card.The opportunity:Reporting to the Vice-President, Group Audit and Conduct, the Senior Manager, Group Audit & Conduct will provide functional oversight of audit deliverables, leading a portfolio of audits across the wealth businesses. The role will own risk assessment and plan delivery, elevate audit quality and insights, coach a high-performing team and influence senior stakeholders to strengthen control environments, conduct risk management and regulatory compliance.Scope & PlanningLead the line of business risk assessment and develop a risk-based annual audit plan covering core lines of business, products, and key risk themes such as suitability, KYC/AML, sales practices, conflicts, best execution, portfolio oversight, model risk, third-party risk, cyber & data, privacy.Continuously update the plan based on emerging risks, regulatory changes, incidents, complaints, and business growth initiatives such as current products, platforms, or outsourcing.Incorporate data-driven scoping, thematic reviews, and continuous monitoring.Audit Execution & QualityOversee end-to-end audits: planning, fieldwork, testing, issue development, reporting, and follow‑up—on time, on budget, and in line with internal methodology.Ensure robust testing of design and operating effectiveness for key controls over advice, client onboarding, account maintenance, trading, suitability, fee billing, disclosure, privacy, and safeguarding of client assets.Drive the use of data analytics including population testing, stratified sampling, trend analysis, and control monitoring.Review workpapers and reports to ensure clarity, factual accuracy, proportionality of findings,



and actionable recommendations.Regulatory & Conduct Risk FocusAssess compliance with applicable regulations and guidance such as CIRO/IIROC Dealer Rules, OSC/CSA, FINTRAC, privacy laws and internal policies/standards.Evaluate conduct risk and client outcomes relating to suitability and KYC, conflicts management, compensation and incentives, complaints handling, vulnerable clients, and disclosure transparency.Prepare for and support regulatory exams; track and validate remediation actions.Stakeholder Management & InfluenceBuild trusted, constructive relationships with senior leaders in Wealth (front office, compliance, operations, risk, technology).Communicate insights succinctly, distinguishing between control gaps, design opportunities, and operational improvements that strengthen client outcomes and business resilience.Escalate significant issues promptly, frame risk clearly, and align pragmatic remediation plans with measurable outcomes and accountable owners.People LeadershipLead and coach a team of managers/senior auditors; set goals, allocate work, review deliverables, and provide timely feedback.Develop team capabilities in wealth products, conduct risk, regulatory interpretation, testing discipline, analytics, and storytelling.Foster a high-performance, inclusive culture rooted in curiosity, accountability, and continuous improvement.Champion audit methodology enhancements, automation, and analytics use cases such as exception monitoring, outlier detection, fee/expense testing.Contribute to audit committee materials, thematic insights, and quarterly risk reporting.Share best practices across Group Audit & Conduct; mentor peers; leadtraining.The ideal candidate will possess:Bachelor’s degree or diploma in business administration, finance, accounting or similar field of study, or equivalent combination of education and experience.Completion of CSC or CPH preferred.5-8 years of internal or external audit, or first‑line controls in Wealth and Risk Management.Strong knowledge of wealth products and processes including advisory/discretionary, funds, managed solutions, fee billing, trading/ops, custody,



vendor/third-party risk.Solid grasp of Canadian wealth regulatory environment such as CIRO, OSC, CSA and conduct risk.Proven people leadership: building, coaching and performance‑managing a team.Strong written and oral communication skills, ability to effectively communicate ideas and recommendations.Advanced testing skills (design & operating effectiveness), root cause analysis and issue development with sustainable remediation.Proficiency with MS Office (Word, Excel, PowerPoint, Teams) and advanced Excel functions such as VLOOKUP, pivot tables.Risk & Control Acumen: Convert complex regulations and processes into transparent control objectives and effective testing strategies.Sound Judgment: Balance control rigor with business practicality; escale the right issuesat the right time.Ownership & Delivery: Plan well, execute to timelines, and raise early warnings proactively.Leadership & Coaching: Grow others; set explicit expectations and recognize great work.Data‑Driven Mindset: Use analytics and evidence to challenge and form insights.Communication: Write tight, persuasive reports and tailor messaging for executive audiences.CompensationRange $ 92,000 - $132,000 annually.This represents Wellington-Altus' expected range of compensation for this position. Actual compensation will vary and will be based on various factors such as location, skills, experience, and qualification for the role. Compensation for part-time roles will be pro‑rated based on number of hours regularly worked.Wellington-Altus’ total compensation package for employees also includes discretionary bonuses as well as other perks and rewards. Health insurance, accident and life insurance, and other unique perks are offered per location.Conditions of employmentMust be legally eligible to work in Canada.A background check, satisfactory to the employer, may be required prior to commencing employment.Must be able to travel for business trips up to 5% of the time.Wellington-Altus Private Wealth is strongly committed to equity and diversity within its community and welcomes applications from women, racialised 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

📌 Senior Manager, Group Audit & Conduct - $92,000 - $132,000 A Year (Winnipeg)
🏢 Wellington-Altus
📍 Winnipeg