Apply CIRO supervision expertise in Toronto or Calgary, reviewing trade reports, NCAFs, KYC updates, and OM submissions for regulatory compliance.
Wellington-Altus Private Wealth seeks a Supervisor reporting to the Associate Vice-President, Supervision. The position oversees WAPW activities, supports registrants, and ensures adherence to CIRO requirements, provincial securities legislation, and internal policies. You will guide compliance resolutions, review supervision activities, and help maintain effective controls.
Key Responsibilities: Review and approve daily, monthly, and quarterly trade reports
Review NCAFs and KYC updates, including managed accounts
Assess and approve offering memorandum submissions




Provide guidance and resolution for compliance matters
Participate in internal and external regulatory reviews
Requirements: CIRO registration as a Supervisor
At least five years with a CIRO member dealer
Two years in compliance or supervisory responsibilities
Bachelor’s degree or equivalent education and experience
Knowledge of CIRO rules and provincial securities legislation
Bring analytical judgment, regulatory knowledge, and detailed supervision experience to Wellington-Altus’s compliance function in Toronto or Calgary.

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📌 CIRO Compliance Supervision Supervisor (Ontario)
🏢 Wellington-Altus Private Wealth
📍 Ontario