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.

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- Investment Executive 2026 Brokerage Report Card.

- Report on Business 2026 rankings.

The opportunity:

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:

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- 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:

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- 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 bank

- Experience in wealth management or other regulated industry is a strong asset.

- Knowledge of the financial services industry, CIRO and provincial securities regulators.

- Experience with data analysis and risk management is highly desirable

- Proficiency in analysis tools and software (e.g., Power BI).

- Proficiency with the MSOffice suite, including Word, PowerPoint, Teams & Outlook.

- Familiar with compliance systems and tools for supervision & communications monitoring.

- Demonstrate a high level of accountability, reliability, adaptability, and innovation in accomplishing day-to-day work and long-term goals.

- Robust organizational skills, and attention to detail with the ability to prioritize effectively and handle multiple tasks in a high-volume, fast-paced work environment.

- Strong written and verbal communication skills, with the ability to communicate effectively with both Advisors and Corporate staff.

- Strong analytical, problem-solving skills, and demonstrating sound professional judgement with an ability to collaborate.

- Exemplary interpersonal, influencing, and communication skills across multiple mediums (in-person, phone, virtual).

- A high tolera

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