Location: This posting is for an existing vacancy in Wellington-Altus’s Calgary or Toronto office.

Our organization:

Founded in 2017, Wellington-Altus Private Wealth Inc. (Wellington-Altus) is Canada's top-rated* investment dealer and a subsidiary of Wellington-Altus Financial Inc., one of Canada’s Top Growing Companies. With more than $55 billion in assets under administration and offices across the country, Wellington-Altus identifies with successful, entrepreneurial advisors, and their high-net-worth clients.

*Investment Executive 2026 Brokerage Report Card.

Report on Business 2026 rankings.

The prospect:

Reporting to the AVP, Supervision, the Compliance Analyst, will be a systems expert for the Compliance Team supporting their tools, including those used for communications monitoring (email/social/text), trading supervision and internal databases. This position will play a critical role in ensuring that the organization adheres to all regulatory requirements and internal policies.

Key responsibilities include:

- Maintain and support all compliance-related systems and tools, including user access, release updates, and the rollout of new or enhanced functionalities.
- Analyze compliance data to uncover trends, identify gaps, and recommend improvements. Prepare detailed reports and present actionable insights to stakeholders.




- Stay current with evolving regulatory requirements and industry best practices to ensure the compliance framework remains robust and up to date.
- Evaluate existing compliance processes and identify opportunities for improvement. Collaborate with cross-functional teams to implement and embed enhancements.
- Conduct compliance risk assessments and develop strategies to mitigate identified risks. Support the implementation of risk management measures.
- Assist with internal and external audits by providing required documentation and addressing findings through corrective actions.
- Resolve issues related to compliance systems and tools, ensuring data accuracy and system integrity.
- Gather and communicate stakeholder requirements clearly. Distribute relevant documentation and updates to ensure alignment across teams.
- Lead the preparation and validation of business requirements to support compliance initiatives and system enhancements.
- Monitor email communications and social media for regulator risks to identify red flags or unusual activity.

The ideal candidate will possess:

- Bachelor’s degree in business administration, Finance, Accounting, or a related field would be an asset.
- Industry courses would be considered assets.
- Minimum 2 years, up to 5 years (preferred) of progressive experience with CIRO Dealer Member or

📌 Compliance Analyst (Toronto)
🏢 Wellington-Altus Private Wealth
📍 Toronto