Support compliance systems and data analysis for Wellington-Altus in Calgary or Toronto. Monitor communications and strengthen regulatory oversight through accurate, actionable insights.
Reporting to the AVP, Supervision, the Compliance Analyst supports communications monitoring, trading supervision, and internal databases. This systems-focused position maintains tools, analyzes compliance data, and supports regulatory requirements and internal policies. It also contributes to risk assessments, audits, process improvements, and compliance initiatives.
Key Responsibilities: Maintain compliance systems, user access, updates, and enhanced functionalities
Analyze compliance data, identify gaps, and present actionable insights
Monitor email and social media for regulatory risks
Support audits, documentation, findings,



and corrective actions
Validate requirements for compliance initiatives and system enhancements
Requirements: Two to five years of progressive experience preferred
Experience with a CIRO Dealer Member or bank
Knowledge of financial services, CIRO, and provincial regulators
Data analysis, risk management, and Power BI proficiency
Solid communication, organization, judgment, and problem-solving skills
Apply compliance systems expertise, regulatory knowledge, and analytical judgment supporting Wellington-Altus teams in Calgary or Toronto.

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📌 Compliance Systems Analyst (Ontario)
🏢 Wellington-Altus
📍 Ontario