Location:
This position will be based in our Calgary or Toronto corporate office locations. Wellington-Altus) is one of Canada’s Top Growing Companies
* and the parent company to Wellington-Altus Private Counsel Inc., Wellington-Altus Insurance Inc., and Wellington-Altus Private Wealth Inc—the top-rated*
* investment dealer in Canada. With more than $50 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. *Reporting to the AVP Supervision, the Senior Compliance Specialist will be responsible for developing an ongoing testing program of the Compliance Supervision duties and conducting training where needed to ensure staff are performing at the same standards for each process. This role is critical in ensuring that the Compliance team adheres to regulatory requirements and internal policies. This position will analyze and support Compliance’s programs through change management, day-to-day support and implementation. Assessing and addressing training needs by designing targeted programs that support compliance and supervision objectives, including a robust quality control framework aligned with Tier 1 Supervision duties. Developing and delivering training content through customized materials and interactive sessions, ensuring clarity, relevance, and alignment with regulatory expectations and firm standards. Monitoring and evaluating training effectiveness using qualitative and quantitative metrics. Providing regular reporting and insights to stakeholders to inform continuous improvement and strategic decision-making. Providing ongoing coaching and mentorship to compliance team members,



focusing on consistent delivery of reviews that meet the firm’s standards and regulatory requirements. Reviewing and enhancing compliance processes to identify inefficiencies, gaps, and opportunities for improvement. Recommending and implementing changes that strengthen operational integrity and risk mitigation. Establishing and maintaining internal controls to ensure adherence to applicable regulatory requirements and internal policies, supporting a culture of accountability and compliance. Staying informed on evolving regulations and industry best practices, proactively updating the compliance framework to reflect changes and maintain its effectiveness and relevance. Communicating regulatory changes and operational impacts across the organization, ensuring teams are prepared and aligned with new requirements through timely updates and process adjustments. Analyzing compliance data and trends to uncover insights, identifying systemic issues, and recommending strategic improvements that enhance oversight and reduce risk exposure. Maintaining a strong understanding of the CIRO requirements of the Compliance Supervision Program. Conducting compliance risk assessments and developing strategies to mitigate identified risks. Supporting the implementation of risk management measures. Staying current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.



Assessing and enhancing compliance frameworks Conducting thorough evaluations of existing compliance and supervision processes to identify inefficiencies, gaps, and areas for improvement. Developing actionable recommendations to strengthen regulatory adherence and operational effectiveness. Leading across Legal, Risk, Operations, and Technology to design and embed process enhancements. Ensuring alignment with regulatory expectations and internal governance standards while promoting sustainable adoption. Driving strategic compliance initiatives: Actively contributing to enterprise-wide projects and initiatives related to compliance, supervision, and risk management. Championing continuous improvement: Partnering with internal stakeholders to identify opportunities for innovation in compliance practices. Foster strong, cooperative partnerships with key internal stakeholders—including senior leadership, business units, and control functions to ensure transparency, accountability and shared ownership of compliance outcome Coaching, training, and testing skills Proactive approach and a strong commitment to continuous improvement. Proficiency in analysis tools and software (e.g. Power BI). Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook. Familiar with compliance systems and tools for supervision & communications monitoring Bachelor’s degree in business administration, finance, accounting, or a related field would be an asset. Industry courses such as CSC would be considered assets. Minimum of 3 years of experience in a compliance or regulatory setting would be ideal. Experience collaborating with IT partners to effectively implement and manage technology solutions is

📌 Senior Regulatory Affairs Specialist, Operations (Canada)
🏢 Wellington-Altus Private Wealth
📍 Canada